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- Tasks: Advise clients on financial matters and manage their portfolios effectively.
- Company: Join a dynamic firm in Hertfordshire focused on client success and financial growth.
- Benefits: Enjoy competitive pay, professional development, and a supportive team environment.
- Why this job: Make a real impact on clients' lives while growing your career in finance.
- Qualifications: Must have a level 4 Diploma and a passion for financial advising.
- Other info: Opportunity to achieve Chartered status and work in a vibrant team.
The predicted salary is between 36000 - 60000 £ per year.
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Financial Adviser – Hertfordshire, Hertfordshire
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Client:
Location:
Hertfordshire, United Kingdom
Job Category:
Other
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EU work permit required:
Yes
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Job Reference:
1fb30f9379b8
Job Views:
8
Posted:
15.06.2025
Expiry Date:
30.07.2025
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Job Description:
Financial Adviser – Hertfordshire
Our client is looking to welcome a Financial Adviser into their team in Hertfordshire, 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
- 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 - Hertfordshire employer: Artemis Recruitment Consultants
Contact Detail:
Artemis Recruitment Consultants Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Financial Adviser - Hertfordshire
✨Network with Industry Professionals
Reach out to current or former Financial Advisers in Hertfordshire through LinkedIn or local networking events. Building relationships can provide you with insider knowledge about the firm and its culture, which can be invaluable during interviews.
✨Stay Updated on Regulatory Changes
Make sure you're well-versed in the latest financial regulations and compliance requirements. This will not only help you in your role but also demonstrate your commitment to staying informed, which is crucial for a Financial Adviser.
✨Prepare for Client Scenarios
Think of various client scenarios you might encounter and how you would handle them. Being able to discuss these during your interview will show that you understand the importance of tailored advice and client care.
✨Showcase Your Soft Skills
As a Financial Adviser, communication and empathy are key. Be ready to share examples of how you've successfully managed client relationships or resolved conflicts in the past, as this will highlight your suitability for the role.
We think you need these skills to ace Financial Adviser - Hertfordshire
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 for the role, as outlined in the job description.
Tailor Your CV: Customise your CV to highlight relevant experience and skills that align with the job requirements. Emphasise your understanding of financial legislation, client management, and any previous advisory roles you've held.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for financial advising and your commitment to client care. Mention specific examples of how you've successfully managed client portfolios or dealt with complex financial situations.
Proofread Your Application: Before submitting, carefully proofread your application materials. Check for spelling and grammatical errors, and ensure that all information is clear and professional. A polished application reflects your attention to detail.
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 FCA's Conduct rules. Being able to discuss these regulations confidently will show your understanding of the industry and your commitment to compliance.
✨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 ability to adapt your advice and services to meet diverse client needs.
✨Showcase Your Research Skills
Be ready to discuss how you conduct product and market research. Providing specific examples of how your research has led to successful client recommendations can set you apart from other candidates.
✨Highlight Your Professional Development
Discuss your current statement of professional standing and any continuing professional development (CPD) activities. This demonstrates your commitment to maintaining competence and staying updated with industry changes.
