Type of Position: Trainee Financial Adviser - North Wales
Pay: £24k - £30k
Trainee Financial Adviser - North Wales
Our client is looking to welcome a Trainee Financial Adviser into their team in North Wales, to advise clients as appropriate to their circumstances and objectives.
Specific 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 follow relevant advice and sales procedures at all times
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 made at all times
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 client's are treated fairly, in line with "TCF" principles
Ensure that you can identify clients who are in vulnerable or potentially vulnerable circumstances, in order 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 held at all times
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 your remain "Fit & Proper" for the role
General responsibilities
Making sure you follow the firm's compliance processes and procedures at all times 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
Having a positive culture attitude at all times
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 appropriate
Relevant 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
Ability to compile reports
Previous experience within financial services
Qualification 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
If you are happy for us to contact you in the future with regards to the products or services we provide, please opt in by ticking the box. More information about what we do with the information that you provide in line with the General Data Protection Regulation can be found in our Privacy Policy .
#J-18808-Ljbffr
