Financial Adviser (Self-Employed) – Basingstoke

Type of Position: Financial Adviser (Self-Employed) - Basingstoke Pay: Self-Employed Package 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 Conducting appropriate product and market research Making suitable recommendations Maintaining all supporting documents Contacting clients in accordance with the agreed level of services offered Providing clients with relevant documentation in a timely manner Dealing with client queries efficiently and promptly Ensuring clients are treated fairly, in line with “TCF” principles Identifying clients in vulnerable circumstances to provide appropriate advice Holding a current statement of professional standing (SPS) at all times Maintaining and accurately recording relevant CPD Upholding all standards of performance as required by the firm 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, including T&C, complaints, financial crime, anti-money laundering, anti-bribery, data security, data protection, conflicts of interest, inducements, record keeping, and best execution Responding to all Compliance department requests on time Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules, and relevant FCA rules at all times Maintaining a positive culture attitude Keeping up to date with relevant regulatory, product, legislative, and technical requirements Ensuring all client contact is professional and courteous Maintaining compliant client files on an ongoing basis Retaining client records in line with the firm’s data security 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 affecting 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 a “level 4” Diploma with the aim of achieving Chartered status

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