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Finance EU work permit required:
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209b3e20fd95 Job Views:
80 Posted:
22.01.2025 Expiry Date:
08.03.2025 Job Description:
Our client is looking to welcome a Financial Adviser into their team in Basingstoke, 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 Making sure 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 Ensuring clients receive relevant documentation in a timely manner Efficiently dealing with client queries Ensuring clients are treated fairly, in line with “TCF” principles Identifying clients who are in vulnerable or potentially vulnerable circumstances and providing appropriate advice Holding a current statement of professional standing (SPS) at all times Maintaining and accurately recording relevant CPD Meeting all standards of performance as required by the firm Obtaining and maintaining the level of competence as required by the firm Ensuring you remain “Fit & Proper” for the role General responsibilities Following the firm’s compliance processes and procedures at all times Responding to all Compliance department requests on time Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules and relevant rules from the FCA Maintaining a positive culture attitude Keeping up to date with relevant regulatory, product, legislative and technical requirements Conducting all client contact in a professional and courteous manner Ensuring all client files are compliant on an ongoing basis Retaining all client records in line with the firm’s Data security, data protection, and record keeping policy Liaising with admin support, Paraplanners, and other team members as appropriate Relevant 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 that affects our industry/profession The ability to understand the operational environment and the issues it 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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Location:
Job Category:
Finance EU work permit required:
Yes Job Reference:
209b3e20fd95 Job Views:
80 Posted:
22.01.2025 Expiry Date:
08.03.2025 Job Description:
Our client is looking to welcome a Financial Adviser into their team in Basingstoke, 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 Making sure 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 Ensuring clients receive relevant documentation in a timely manner Efficiently dealing with client queries Ensuring clients are treated fairly, in line with “TCF” principles Identifying clients who are in vulnerable or potentially vulnerable circumstances and providing appropriate advice Holding a current statement of professional standing (SPS) at all times Maintaining and accurately recording relevant CPD Meeting all standards of performance as required by the firm Obtaining and maintaining the level of competence as required by the firm Ensuring you remain “Fit & Proper” for the role General responsibilities Following the firm’s compliance processes and procedures at all times Responding to all Compliance department requests on time Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules and relevant rules from the FCA Maintaining a positive culture attitude Keeping up to date with relevant regulatory, product, legislative and technical requirements Conducting all client contact in a professional and courteous manner Ensuring all client files are compliant on an ongoing basis Retaining all client records in line with the firm’s Data security, data protection, and record keeping policy Liaising with admin support, Paraplanners, and other team members as appropriate Relevant 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 that affects our industry/profession The ability to understand the operational environment and the issues it 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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