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Financial Adviser - Market Harborough, Market Harborough
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Client:
Location:
Market Harborough, United Kingdom
Job Category:
Finance
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EU work permit required:
Yes
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Job Reference:
2a1a7a843a94
Job Views:
11
Posted:
29.04.2025
Expiry Date:
13.06.2025
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Job Description:
Financial Adviser - Market Harborough
Our client is looking to welcome a Financial Adviser into their team in Market Harborough, to advise clients as appropriate to their circumstances and objectives.
Responsibilities include:
* Prospecting and contacting potential clients in accordance with the firm’s business plan
* Obtaining sufficient client information before making recommendations
* Following relevant advice and sales procedures at all times
* Managing portfolios in accordance with client mandates, objectives, and the firm’s investment proposition
* Conducting product and market research
* Making suitable recommendations consistently
* Maintaining all supporting documents
* Contacting clients as per the agreed service levels
* Providing clients with relevant documentation promptly
* Handling client queries efficiently and promptly
* Ensuring fair treatment of clients in line with "Treating Customers Fairly" principles
* Identifying vulnerable clients and providing appropriate advice and services
* Maintaining current SPS (Statement of Professional Standing)
* Recording CPD (Continuing Professional Development) accurately
* Upholding performance standards and competence levels
* Remaining "Fit & Proper" for the role
General Responsibilities:
* Adhering to all compliance processes and procedures, including T&Cs, complaints, AML, data security, conflicts of interest, record keeping, etc.
* Responding promptly to compliance requests
* Complying with relevant legislation, FCA rules, and conduct standards
* Maintaining a positive professional attitude
* Staying updated on regulatory, legislative, and technical developments
* Handling client contact professionally and courteously
* Ensuring ongoing compliance of client files and records
* Liaising with team members and support staff as needed
Experience, Skills, and Knowledge:
Candidates should have:
* Understanding of relevant legislation affecting the industry
* Ability to understand the operating environment and associated issues
* Report compilation skills
Qualification Requirements:
The minimum qualification is a Level 4 Diploma, with the aim of achieving Chartered status.
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