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Financial Adviser - Harrogate, Harrogate
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Client:
Location:
Harrogate, United Kingdom
Job Category:
Finance
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EU work permit required:
Yes
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Job Reference:
2e339104493d
Job Views:
12
Posted:
29.04.2025
Expiry Date:
13.06.2025
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Job Description:
Financial Adviser - Harrogate
Our client is looking to welcome a Financial Adviser to their team based in Harrogate. This is a self-employed opportunity with high earning potential. The role involves advising clients appropriately based on their circumstances and objectives.
Specific responsibilities
* Prospecting and contacting potential clients according to the firm’s business plan
* Gathering sufficient client information before making recommendations
* Following relevant advice and sales procedures at all times
* Managing portfolios in line 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 clients are treated fairly according to “Treating Customers Fairly” principles
* Identifying vulnerable clients and providing appropriate advice and services accordingly
* Maintaining a current Statement of Professional Standing (SPS)
* Keeping relevant Continuing Professional Development (CPD) records
* Upholding performance standards required by the firm
* Maintaining the necessary competence level for the role
* Remaining “Fit & Proper” for the role
General responsibilities
* Following the firm’s compliance processes and procedures at all times (e.g., T&Cs, complaints, AML, data security, conflicts of interest, record keeping, etc.)
* Responding to Compliance department requests promptly
* Complying with relevant legislation and FCA rules
* Maintaining a positive professional attitude
* Staying updated on regulatory, legislative, and technical requirements
* Conducting client contact professionally and courteously
* Ensuring ongoing compliance of client files and records
* Liaising with support staff and team members as appropriate
Relevant experience, skills, and knowledge
* Understanding relevant legislation affecting the industry
* Ability to understand the operating environment and related issues
* Capability to compile reports
Qualification requirements
* Minimum Level 4 Diploma, with the goal of achieving Chartered status
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