Overview
Type of Position: Financial Adviser (IFA) - London, Harrow
Pay: £45,000
Reference: #1637843
The client is looking to welcome a Financial Adviser on their team based in Harrow. This will be an office based opportunity with a high earning potential. You will advise clients as appropriate to their circumstances and objectives.
Responsibilities
* Prospecting and contacting potential clients in accordance with the firm’s business plan
* Ensuring sufficient client information is obtained before any recommendation is made
* Following relevant advice and sales procedures at all times
* Managing portfolios in accordance with the client’s mandate, objectives, and the firm’s investment proposition
* Undertaking appropriate product and market research
* Making suitable recommendations at all times
* Maintaining all supporting documents
* Contacting clients in accordance with the agreed level of services offered
* Providing relevant documentation to clients in a timely way
* Handling client queries in an efficient and timely manner
* Treating clients fairly in line with “TCF” principles
* Identifying clients who are in vulnerable or potentially vulnerable circumstances to adapt services/advice accordingly
* Maintaining a current Statement of Professional Standing (SPS) at all times
* Maintaining relevant CPD accurately
* Maintaining performance standards as required by the firm
* Obtaining and maintaining the level of competence as required by the firm
* Maintaining standards to remain “Fit & Proper” for the role
General responsibilities
* Follow the firm’s compliance processes and procedures at all times (e.g., T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, best execution)
* Respond to all Compliance department requests on time
* Comply with the Financial Services and Markets Act 2000, the FCA Conduct Rules / Principles & Code of Practice, and relevant FCA rules
* Maintain a positive culture and attitude
* Keep up to date with regulatory, product, legislative and technical requirements
* Conduct client contact in a professional and courteous manner
* Ensure client files remain compliant on an ongoing basis
* Retain client records in line with the firm’s data security / data protection / record keeping policy
* Liaise with admin support, paraplanners, and other team members as appropriate
Experience, skills and knowledge
We expect an individual performing this role to have the following experience, skills, and knowledge:
* A good understanding and knowledge of relevant legislation affecting the industry
* The ability to understand the environment in which the firm operates and the issues this raises
* Ability to compile reports
Qualification requirements
We expect an individual in this role to hold the following qualifications:
* The minimum level is “level 4” Diploma with the aim of achieving Chartered status
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