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For Companies At a Glance
- Tasks: Help clients manage their finances and achieve their goals while building strong relationships.
- Company: Join a dynamic firm in Harrogate focused on client success and financial growth.
- Benefits: Enjoy high earning potential and the flexibility of self-employment.
- Why this job: Make a real impact on clients' lives while developing your professional skills in finance.
- Qualifications: Must have a Level 4 Diploma and aim for Chartered status.
- Other info: This role requires a proactive attitude and compliance with industry regulations.
The predicted salary is between 36000 - 60000 ÂŁ per year.
Our client is looking to welcome a Financial Adviser on their team based in Harrogate . This will be a self‑employed opportunity with a high earning potential. You will 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
Making sure you follow 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
Ensuring suitable recommendations are made at all times
Maintaining all supporting documents in an organised manner
Ensuring clients are contacted in accordance with the agreed level of services offered
Providing clients with relevant documentation in a timely way
Dealing with client queries efficiently and promptly
Ensuring clients are treated fairly, in line with “TCF” principles
Identifying clients who are in vulnerable or potentially vulnerable circumstances and adapting the services/advice accordingly
Maintaining a current statement of professional standing (SPS) at all times
Keeping CPD records up to date and accurately recorded
Maintaining all performance standards required by the firm
Maintaining the level of competence 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)
Responding to all Compliance department requests on time
Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules / FCA Statements of Principle & Code of Practice and the relevant FCA rules 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 manner
Keeping all client files compliant 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 that affects our industry/profession
The ability to take on and 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
Qualifications
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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FINANCIAL ADVISER - HARROGATE employer: Artemis Recruitment Consultants Ltd
Contact Detail:
Artemis Recruitment Consultants Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land FINANCIAL ADVISER - HARROGATE
✨Tip Number 1
Network with local professionals in Harrogate. Attend financial seminars, workshops, or community events to meet potential clients and other advisers. Building relationships in the area can significantly enhance your chances of landing this role.
✨Tip Number 2
Familiarise yourself with the specific regulations and compliance requirements that apply to financial advisers in the UK. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to professionalism during interviews.
✨Tip Number 3
Prepare to discuss your approach to client management and how you would handle vulnerable clients. This is crucial for the role, so having examples ready will show that you understand the importance of treating clients fairly.
✨Tip Number 4
Research the firm’s investment proposition and be ready to discuss how you would align your advice with their objectives. Showing that you’ve done your homework will set you apart from other candidates.
We think you need these skills to ace FINANCIAL ADVISER - HARROGATE
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Financial Adviser. Familiarise yourself with the specific skills and qualifications required, such as the level 4 Diploma and knowledge of relevant legislation.
Tailor Your CV: Customise your CV to highlight your experience in financial advising, client management, and compliance. Emphasise any relevant qualifications and your understanding of the financial services industry.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for financial advising and your ability to meet clients' needs. Mention your understanding of TCF principles and how you ensure clients are treated fairly.
Proofread Your Application: Before submitting, carefully proofread your application materials. Check for spelling and grammatical errors, and ensure that all information is accurate and presented professionally.
How to prepare for a job interview at Artemis Recruitment Consultants Ltd
✨Know Your Financial Regulations
Make sure you brush up on the relevant legislation and regulations that affect the financial advisory industry. Being able to discuss these confidently will show your understanding of the environment you'll be operating in.
✨Demonstrate Client-Centric Thinking
Prepare examples of how you've successfully managed client relationships in the past. Highlight your ability to treat clients fairly and adapt your advice to their unique circumstances, especially for those who may be vulnerable.
✨Showcase Your Research Skills
Be ready to discuss how you conduct market research and product analysis. This is crucial for making suitable recommendations, so having a few examples of your research process can set you apart.
✨Prepare for Compliance Questions
Since compliance is a big part of the role, expect questions about your understanding of compliance processes and procedures. Familiarise yourself with the Financial Services and Markets Act 2000 and the FCA's Conduct rules to demonstrate your knowledge.