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Financial Planner, Swindon (JR-1219)

£30000 - £35000 plus excellent bonuses
This is a well-established, independent and directly authorised firm who provide a range of Wealth Management solutions to private and corporate clients, as well as an in-house investment solution.
The business seeks to bring on an experienced Financial Adviser to act as an ambassador in delivering a bespoke, high class advice to an existing book of clients across Swindon.
It is an employed position with bonuses and additional employee benefits.
The Role and its Responsibilities
  • Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice for approved persons and the relevant FCA rules
  • Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm
  • Keep up to date with all relevant product, legislative and technical changes
  • Identify/contact clients in accordance with the business plan and supervisor’s guidance
  • Ensure that relevant disclosure processes are followed in a positive clear and timely fashion
  • Ensure sufficient client information (KYC) is obtained and that the analysis of this information informs suitable recommendations
  • Undertake detailed, relevant product and market research in order to identify the most suitable client solution where appropriate
  • Ensure suitable recommendations are made and communicated clearly and simply
  • Ensure that regular ongoing client reviews are managed and conducted in a timely fashion to the required standard, supported by the required documentation
  • Ensure records are detailed and comprehensive and that documentation is held securely via the firm’s back office system in a timely fashion
  • Attain and maintain level of competence in accordance with those outlined in the Key Performance Indicators section of the firm’s Training & Competence scheme
  • Ensure relevant CPD is maintained and recorded accurately and that a current statement of professional standing is always held
Relevant Skills, Knowledge and Behaviours
  • The requisite technical knowledge and qualification (e.g. QCA Level 4 exams)
  • Experience of providing regulated financial advice to clients and the ability to build and maintain close professional relationships
  • Knowledge and understanding of the FCA’s regulatory and compliance procedures including record keeping requirements
  • A willingness to work closely with the firms support functions in order to provide the best possible outcomes for clients
  • The ability to demonstrate that you are a person of the highest integrity
Employment type: 
Employed (Full Time)
Financial Planning
Reference Number: