Trainee Financial Adviser - Liverpool

Type of Position: Trainee Financial Adviser – Liverpool
Pay: £24k – £30k

Trainee Financial Adviser – Liverpool

Our client is looking to welcome a Trainee Financial Adviser into their team in Liverpool, 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 in an efficient and timely manner
• Ensuring clients are treated fairly, in line with “TCF” principles
• Identifying clients who are in vulnerable or potentially vulnerable circumstances to provide appropriate advice
• 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
• Maintaining standards to ensure 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, 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 / FCA Statements of Principle & Code of Practice 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 in a professional and courteous manner
• Maintaining compliant client files on an ongoing basis
• Retaining 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 understand the environment we operate in, and the issues this raises
• Ability to compile reports
• Previous experience within financial services

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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