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 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.
- 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.
- 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.