- Conducting and recording in-depth reviews of a range of clients' financial circumstances and future aims, at various locations or over the telephone, as appropriate.
- Devising and explaining recommendations or strategies to clients on ways to best utilise their money and achieve their goals.
- Analysing and re-evaluating investment portfolios, based on asset allocation, risk tolerance and each client's individual financial needs and objectives.
- Ensuring all regulatory requirements appropriate to a registered individual are adhered to, including the annual retention of a Statement of Professional Standing.
- Ensuring an adequate level of qualifications is maintained and appropriate Continuing Professional Development is undertaken and correctly recorded, including keeping up to date with legislative and product changes.
- Researching products, providers and funds on a whole of market basis, with a view to potentially joining the Investment Committee.
- Liaising with other professionals including accountants and solicitors, as appropriate.
- Holding R01 or equivalent and working towards Level 4 financial advice qualifications with the intention of completing the remainder within two years.
- Experience in paraplanning or a similar role.
- Full UK Driving Licence & own car are essential.
- Level 4 financial advice qualifications.
- Experience in providing client facing financial advice.
- Current valid Statement of Professional Standing.
- Discretionary Investment Management qualification.
- Knowledge of investment platforms
- Professional, approachable and helpful manner.
- Able to work on own initiative, and be receptive to in-house training; acquiring knowledge of the company's internal systems.
- Must be able to act with integrity, understand what constitutes a complaint or regulatory breach and the reporting process involved with same.
- Good record keeping and time management.
- Accuracy and attention to detail.
- Competence in Outlook, Word and Excel.
- Experience of devising, implementing and monitoring strategies to obtain client goals and requirements, particularly with High Net Worth Individuals.
- Experience of explaining complex issues to clients who have varying degrees of financial product knowledge.
- Competence with IRESS XPlan.
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Trainee Financial Adviser - Waltham Cross, United Kingdom - Blakemore Recruitment
Description
We are currently recruiting for a Financial Planning practice based in Waltham Cross who are looking to recruit a Trainee Financial Adviser.
The ideal candidate would already be Level 4 qualified and have some client facing experience, with a good understanding of ISAs, Pensions and Investment Bonds. A full driving licence and own car are essential, as travel to some clients will be required once the current restrictions are lifted.
Company Background
The company is a well-established, single office, Independent Financial Adviser with loyal clients who appreciate the personalised service. They have a friendly working environment, which is reflected in the low staff turnover. There are no individual targets or a need for advisers to generate leads. They are looking for someone with a can-do attitude who is looking to develop their skills and become a valued member of their team. The company is owned by their employees so, longer term, there is the opportunity to become a shareholder and benefit from their success.
They specialise in discretionary fund management, although they also offer an advisory service. They only advise retail clients, mainly high net worth individuals, trusts and small companies. Their advice covers areas including but not restricted to, investment and savings; pensions and retirement; estate planning and wealth distribution between generations; and the efficient use of wealth to mitigate income, capital gains and inheritance taxes. They do not offer advice on mortgages or general insurance.
Roles and Responsibilities
Required Qualifications/Experience
Minimum:
Preferred:
Required Skills
Minimum:
Preferred:
