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Our client is looking to welcome a Financial Adviser into their team in Cornwall, to advise clients as appropriate to their circumstances and objectives.
Specific responsibilities
* Prospecting and contacting potential clients in accordance with the firm’s business plan
* Ensuring sufficient client information is obtained before making recommendations
* Following relevant advice and sales procedures at all times
* Managing portfolios according to 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 service
* Providing relevant documentation to clients promptly
* Dealing with client queries efficiently and promptly
* Treating clients fairly in line with “Treating Customers Fairly” principles
* Identifying clients in vulnerable circumstances and providing appropriate advice and services accordingly
* Holding a current statement of professional standing (SPS) at all times
* Maintaining relevant CPD and recording it accurately
* Maintaining performance standards as required by the firm
* Obtaining and maintaining the necessary competence level for the role
* Remaining “Fit & Proper” for the role
General responsibilities
* Following the firm’s compliance processes and procedures, including T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, and best execution
* Responding to Compliance department requests promptly
* Complying with the Financial Services and Markets Act 2000, FCA’s Conduct rules, FCA Statements of Principles & Code of Practice, and other relevant FCA rules
* Maintaining a positive attitude
* Keeping up to date with regulatory, legislative, product, and technical requirements
* Conducting all client contact professionally and courteously
* Ensuring client files are compliant and records are retained according to policies
* Liaising with admin support, paraplanners, and team members appropriately
Relevant experience, skills, and knowledge
We expect the following from candidates:
* Understanding of relevant legislation affecting the industry
* Ability to understand the operating environment and its issues
* Good written and oral communication skills
* General IT skills
* Ability to compile reports
Qualification requirements
The minimum qualification is a “Level 4” Diploma, with the aim of achieving Chartered status.
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