Type of Position: Trainee Financial Adviser - Preston
Pay: £24k - £30k
Trainee Financial Adviser - Preston
Our client is seeking a Trainee Financial Adviser in Preston to advise clients according to their circumstances and objectives.
Responsibilities include:
1. Prospecting and contacting potential clients as per the firm’s business plan
2. Gathering sufficient client information before making recommendations
3. Following relevant advice and sales procedures consistently
4. Managing portfolios in line with client mandates, objectives, and the firm's investment proposition
5. Conducting product and market research
6. Making suitable recommendations at all times
7. Maintaining all supporting documents
8. Contacting clients as per the agreed service levels
9. Providing clients with relevant documentation promptly
10. Handling client queries efficiently and promptly
11. Ensuring clients are treated fairly according to “Treating Customers Fairly” principles
12. Identifying vulnerable clients and providing appropriate advice and services accordingly
13. Maintaining a current Statement of Professional Standing (SPS)
14. Keeping relevant Continuing Professional Development (CPD) records
15. Upholding performance standards required by the firm
16. Maintaining necessary competence levels
17. Remaining “Fit & Proper” for the role
General responsibilities include:
1. Adhering to all compliance processes and procedures (e.g., T&C, complaints, AML, data security, conflicts of interest, record keeping, best execution)
2. Responding promptly to compliance requests
3. Complying with the Financial Services and Markets Act 2000, FCA rules, and relevant regulations
4. Maintaining a positive and professional attitude
5. Staying updated on regulatory, legislative, and technical requirements
6. Ensuring professional and courteous client interactions
7. Keeping client files compliant and records secure as per policies
8. Collaborating with admin support, paraplanners, and team members
Experience, skills, and knowledge required:
* Understanding of relevant legislation affecting the industry
* Ability to understand the operational environment and related issues
* Report compilation skills
* Previous experience in financial services
Qualification requirements:
* Minimum Level 4 Diploma, with the goal of achieving Chartered status
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