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Independent Financial Advisor

Location
London
Salary
£60,000 to £80,000
Job Type
Permanent
Posted
5 Sep 2022
A highly established and successful Accountancy and Financial Planning Practice, with multiple offices across the country, currently requires an experienced Independent Financial Planner, to manage HNW / UHNW book of longstanding loyal clients, typical client's minimum investment £1 million + Diploma level 4 is essential, Chartered or near Chartered advantageous. You will be provided with on-going HNW clients, an outstanding overall package, bonus, hybrid working and comprehensive benefits. An opportunity for any experienced Financial Planner that is far to good to be overlooked. Overview of role To advise clients as appropriate to their circumstances & objectivesSpecific 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 always follow relevant advice and sales procedures 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 always made 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 clients are treated fairly, in line with "TCF" principles Ensure that you can identify clients who are in vulnerable or potentially vulnerable circumstances, 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 always held 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 you remain "Fit & Proper" for the roleGeneral responsibilities Making sure you follow the firm's compliance always processes and procedures 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 Always Having a positive attitude 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 appropriateRelevant 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 reportsQualification 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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Details

  • Job Reference: 704431781-2
  • Date Posted: 5 September 2022
  • Recruiter: PB Recruitment Consultants Ltd
    PB Recruitment Consultants Ltd
  • Location: London
  • Salary: £60,000 to £80,000
  • Bonus/Benefits: Comprehensive Benefits. Bonus. Clien
  • Sector: Accounting
  • Job Type: Permanent