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
Financial Adviser BW-1459
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.
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