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Financial Adviser BW-1459

£35000 - £40000 Plus bonus and benefits

We are delighted to be working with this Investment Management Midlands based firm that offers a personal and discreet financial planning service that aims to deliver integrated and specialist funding advice for corporate and private individuals.

The firm are able to deliver a ‘boutique’ access to financial solutions – whilst ensuring, through significant investment in systems and controls, that diligence is ever-present in the process of advice and product selection.

Due to the acquisition of an existing client base, this is an opportunity for a dynamic, level 4 qualified Financial Adviser with 1 or 2 years advising experience looking to make the next step in their career to join the team and service/develop an existing client base whilst also looking to attract new clients to the business.
Full paraplanning and client support services provided.
The office is Birmingham based but with a client base in the Warwickshire area.
Relevant Skills and Knowledge
  • The requisite technical knowledge and qualification (e.g. QCA Level 4 exams)
  • 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
General Responsibilities
  • Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times
  • Comply with the relevant compliance, TCF, T&C, 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
Specific Responsibilities
  • Prospect / contact potential clients in accordance with the firm’s business plan / 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
  • Maintain and build on fee income
  • Carry out client reviews in accordance with individual Client Agreements and firm’s On-going Service procedures
  • Ensure a current, in date 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
  • Ensure relevant CPD is maintained and recorded accurately
Employment type: 
Employed (Full Time)
Financial Planning
Reference Number: