Financial Adviser

Our client is looking to welcome a Financial Adviser on their team based in Harrogate
. This will be a self‑employed opportunity with a high earning potential. You will advise clients as appropriate to their circumstances and objectives.

• 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
• Managing portfolios in accordance with the client’s mandate, objectives and the firm’s investment proposition
• Undertaking appropriate product and market research
• Ensuring suitable recommendations are made at all times
• Maintaining all supporting documents in an organised manner
• Ensuring clients are contacted in accordance with the agreed level of services offered
• Providing clients with relevant documentation in a timely way
• Dealing with client queries efficiently and promptly
• Ensuring clients are treated fairly, in line with “TCF” principles
• Identifying clients who are in vulnerable or potentially vulnerable circumstances and adapting the services/advice accordingly
• Maintaining a current statement of professional standing (SPS) at all times
• Keeping CPD records up to date and accurately recorded
• Maintaining all performance standards required by the firm
• Maintaining the level of competence required by the firm
• Ensuring you remain “Fit & Proper” for the role

• Following the firm’s compliance processes and procedures at all times (e.g., T&C, complaints, financial crime, anti‑money laundering, anti‑bribery, data security, data protection, conflicts of interest, inducements, record keeping, best execution)
• 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 FCA rules at all times
• Maintaining a positive culture attitude at all times
• Keeping up to date with relevant regulatory, product, legislative and technical requirements
• Ensuring all client contact is carried out in a professional and courteous manner
• Keeping all client files compliant on an ongoing basis
• Retaining all client records in line with the firm’s data security / data protection / record keeping policy
• Liaising with admin support, paraplanners, and other team members as appropriate

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 in, and the issues this raises
• Good written and oral communication skills
• General IT skills
• Ability to compile reports
• 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