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    Financial Adviser - Harrogate, North Yorkshire, United Kingdom - Artemis Recruitment Consultants Ltd

    Artemis Recruitment Consultants Ltd
    Artemis Recruitment Consultants Ltd Harrogate, North Yorkshire, United Kingdom

    3 weeks ago

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    Description

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    Financial Adviser - Harrogate - Artemis Recruitment Consultants

    Financial Services

    Harrogate

    15/09/2023

    Type of Position: Financial Adviser - Harrogate
    Pay: Self-Employed Package

    Financial Adviser - Harrogate

    Our client is looking to welcome a Financial Adviser on their team based in Harrogate. This will be a self-employed opportunity with a high earning potential. You will be 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
    • Good written / oral communication skills
    • General IT skills
    • 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

    If you are interested in this position, please email your CV to

    Apply for this job

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