Financial Adviser - Burgess Hill
Our client is looking to welcome a Financial Adviser into their team based in Burgess Hill, 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
Dealing with client queries efficiently and timely
Ensuring clients are treated fairly, in line with “TCF” principles
Identifying clients who are in vulnerable or potentially vulnerable circumstances, to provide appropriate advice and adapt services accordingly
Holding a current statement of professional standing (SPS) at all times
Maintaining and accurately recording relevant CPD
Maintaining 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 (e.g., T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, best execution, etc.)
Responding to all Compliance department requests on time
Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules, and the relevant rules from the FCA at all times
Maintaining a positive culture attitude at all times
Keeping up to date with relevant regulatory, product, legislative, and technical requirements
Ensuring all client contact is carried out professionally and courteously
Maintaining compliant client files on an ongoing basis
Retaining all client records in line with the firm’s Data security / data protection / 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/awareness of relevant legislation affecting our industry/profession
The ability to understand the environment we operate in and the issues this raises
Good written and oral communication skills
General IT skills
Ability to compile reports
Qualification requirements
The minimum level is “level 4” Diploma with the aim of achieving Chartered status.
If you are interested in this position, please email your CV to
josie@artemisrecruitment.co.uk .
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