Financial Adviser (Self-Employed) - Basingstoke

Type of Position: Financial Adviser (Self-Employed) - BasingstokePay: Self-Employed PackageOur client is looking to welcome a Financial Adviser into their team in Basingstoke, to advise clients as appropriate to their circumstances and objectives.Specific responsibilitiesProspecting and contacting potential clients in accordance with the firm’s business planMaking sure sufficient client information is obtained before any recommendation is madeMaking sure you follow relevant advice and sales procedures at all timesMaking sure portfolios are managed in accordance with the client’s mandate, objectives and the firm’s investment propositionUndertaking appropriate product and market researchMaking sure suitable recommendations are made at all timesMaking sure all supporting documents are maintainedMaking sure all clients are contacted in accordance with the agreed level of services offeredMaking sure clients receive relevant documentation in a timely wayDealing with client queries in an efficient and timely mannerEnsure that client’s are treated fairly, in line with “TCF” principlesEnsure 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 timesMaking sure relevant CPD is maintained and recorded accuratelyMaintaining all standards of performance as required by the firmObtaining and maintaining the level of competence as required by the firmMaintaining standards to ensure your remain “Fit & Proper” for the role General responsibilitiesMaking 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 timeComplying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules / FCA Statements ofPrinciple & Code of Practice and the relevant rules from the FCA at all timesHaving a positive culture attitude at all timesKeeping up to date with relevant regulatory, product, legislative and technical requirementsMaking sure all client contact is carried out in a professional and courteous wayMaking sure all client files are compliant on an ongoing basisMaking sure all client records are retained in line with the firm’s Data security / data protection / record keeping policyLiaising with admin support, Paraplanners, and other team members as appropriate Relevant experience, skills and knowledgeWe 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/professionThe ability to take on and understand the environment we operate it, and the issues this raisesAbility to compile reports Qualification requirementsWe 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
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