Type of Position: Financial Adviser - Coulsdon
Pay: £40k - £80k
Financial Adviser - Coulsdon
Our client is looking to welcome a Financial Adviser into their team in Coulsdon, 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 way. Dealing with client queries in an efficient and timely manner. Identifying clients who are in vulnerable or potentially vulnerable circumstances to treat them fairly and provide appropriate advice. Holding a current statement of professional standing (SPS) at all times. Maintaining and recording relevant CPD accurately. 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. 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 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 in a professional and courteous way. Maintaining compliant client files on an ongoing basis. Retaining 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/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
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. If you are happy for us to contact you in the future regarding the products or services we provide, please opt in by ticking the box. More information about what we do with the information you provide in line with the General Data Protection Regulation can be found in our Privacy Policy.
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Our client is looking to welcome a Financial Adviser into their team in Coulsdon, 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 way. Dealing with client queries in an efficient and timely manner. Identifying clients who are in vulnerable or potentially vulnerable circumstances to treat them fairly and provide appropriate advice. Holding a current statement of professional standing (SPS) at all times. Maintaining and recording relevant CPD accurately. 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. 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 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 in a professional and courteous way. Maintaining compliant client files on an ongoing basis. Retaining 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/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
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. If you are happy for us to contact you in the future regarding the products or services we provide, please opt in by ticking the box. More information about what we do with the information you provide in line with the General Data Protection Regulation can be found in our Privacy Policy.
#J-18808-Ljbffr
