Financial Adviser

Financial Adviser

Our client is looking to welcome a Financial Adviser into their team in Hertfordshire, 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 portfolios are managed in accordance with the client's mandate and objectives
• Undertaking appropriate product and market research
• Ensuring clients are treated fairly, in line with Treating Customers Fairly principles
• Maintaining a current Statement of Professional Standing and relevant CPD

General Responsibilities

• Following the firm's compliance processes and procedures at all times
• Complying with the Financial Services and Markets Act 2000 and FCA Conduct Rules
• Keeping up to date with relevant regulatory, product and technical requirements
• Liaising with admin support, Paraplanners and other team members as appropriate

Qualification Requirements

• Minimum Level 4 Diploma, with the aim of achieving Chartered status

If you are interested in this position, please email your CV to josie@artemisrecruitment.co.uk