- Technical knowledge and qualifications (e.g. QCA Level 4 exams) or equivalent
- Detailed knowledge and understanding of the firm's compliance procedures including record keeping requirements
- Provision of advice to clients in a compliant manner as detailed in the firm's compliance manual and procedures
Responsibilities
• Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice for approved persons and the relevant FCA rules at all times
• Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all times
• Keep up to date with all relevant product, legislative and technical changes
• Provide financial review services to existing clients in a timely manner and in accordance with the firm's procedures
• Prospect and contact potential clients in accordance with the firm's business plan and supervisor's guidance
• Ensure sufficient client information obtained and analyse information gathered
• Undertake sufficient product and market research
• Ensure suitable recommendations are made.
• Ensure all supporting documentation is maintained
• Ensure a current statement of professional standing (SPS) is held at all times
• Attain and maintain level of competence as required by the firm
• Maintain all standards of performance as required by the firm
A competitive salary and bonus package is on offer for the successful candidate so please apply today and we call you to discuss the role in more detail. -
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