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- Tasks: Advise clients on financial matters and manage their portfolios effectively.
- Company: Join a reputable firm in Berkswell with a strong client base.
- Benefits: Flexible employment options, professional development, and a supportive team environment.
- Why this job: Make a real impact on clients' financial futures while growing your career in finance.
- Qualifications: Must have a level 4 Diploma and aim for Chartered status.
- Other info: Opportunity to work either employed or self-employed with a provided client bank.
The predicted salary is between 36000 - 60000 ÂŁ per year.
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Our client is looking to welcome a Financial Adviser into their team in Berkswell, to advise clients as appropriate to their circumstances and objectives. This position can be either employed or self-employed, with a client bank provided by the practice.
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
- Making sure portfolios are managed in accordance with the client’s mandate, objectives and the firm’s investment proposition
- Undertaking appropriate product and market research
- Making sure suitable recommendations are made at all times
- Making sure all supporting documents are maintained
- Making sure all clients are contacted in accordance with the agreed level of services offered
- Making sure clients receive relevant documentation in a timely way
- Dealing with client queries in an efficient and timely manner
- Ensure that client’s are treated fairly, in line with “TCF” principles
- Ensure that you can identify clients who are in vulnerable or potentially vulnerable circumstances, in order to treat them fairly, and provide appropriate advice and adapt the services/advice provided accordingly.
- Making sure a current statement of professional standing (SPS) is held at all times
- Making sure relevant CPD is maintained and recorded accurately
- 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 your remain “Fit & Proper” for the role
General responsibilities
- Making sure you follow the firm’s compliance processes and procedures at all times for example; 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
- Having a positive culture attitude at all times
- Keeping up to date with relevant regulatory, product, legislative and technical requirements
- Making sure all client contact is carried out in a professional and courteous way
- Making sure all client files are compliant on an ongoing basis
- Making sure all client records are retained 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 it, and the issues this raises
- 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
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Financial Adviser - Berkswell employer: Artemis Recruitment Consultants
Contact Detail:
Artemis Recruitment Consultants Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Financial Adviser - Berkswell
✨Tip Number 1
Network with professionals in the financial services industry, especially those who are already working as Financial Advisers. Attend local events or join online forums to connect with potential colleagues and mentors who can provide insights into the role and the firm.
✨Tip Number 2
Familiarise yourself with the latest regulations and compliance requirements relevant to financial advising. This will not only help you in interviews but also demonstrate your commitment to maintaining high professional standards.
✨Tip Number 3
Prepare to discuss your approach to client management and how you would handle vulnerable clients. Being able to articulate your understanding of treating clients fairly will set you apart from other candidates.
✨Tip Number 4
Research the specific firm’s business plan and client demographics. Tailoring your conversation to show how your skills and experience align with their objectives will make a strong impression during any discussions.
We think you need these skills to ace Financial Adviser - Berkswell
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Financial Adviser as outlined in the job description. Tailor your application to highlight how your skills and experiences align with these specific duties.
Highlight Relevant Experience: In your CV and cover letter, emphasise any previous experience in financial advising or related fields. Mention specific achievements that demonstrate your ability to manage client portfolios and provide tailored advice.
Showcase Your Qualifications: Clearly state your qualifications, especially if you hold a level 4 Diploma or higher. If you're working towards Chartered status, mention this as well, as it shows your commitment to professional development.
Personalise Your Cover Letter: Craft a personalised cover letter that addresses the hiring manager directly. Use this opportunity to express your enthusiasm for the role and the company, and explain why you would be a great fit for their team.
How to prepare for a job interview at Artemis Recruitment Consultants
✨Know Your Regulations
Familiarise yourself with the Financial Services and Markets Act 2000 and the FCA’s Conduct rules. Being able to discuss these regulations confidently will show that you understand the compliance landscape and are prepared to adhere to it.
✨Demonstrate Client-Centric Thinking
Prepare examples of how you've treated clients fairly in previous roles, especially those in vulnerable situations. This will highlight your commitment to the 'Treating Customers Fairly' principles that are crucial in this role.
✨Showcase Your Research Skills
Be ready to discuss how you conduct market research and product analysis. Providing specific examples of how your research has led to successful client recommendations will demonstrate your analytical abilities.
✨Highlight Your Professional Development
Discuss your current statement of professional standing and any continuing professional development (CPD) activities. This shows your dedication to maintaining competence and staying updated with industry changes.
