Financial Adviser

Financial Adviser

Our client is looking to welcome a Financial Adviser to their team based in Harrogate. This is a self-employed opportunity with high earning potential, advising 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
• Following 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 and ensuring suitable recommendations are made
• Identifying clients who are in vulnerable or potentially vulnerable circumstances and adapting advice accordingly
• Maintaining a current Statement of Professional Standing (SPS) and relevant CPD records

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

• Good understanding of relevant legislation affecting the industry
• Good written and oral communication skills, and general IT skills
• Minimum Level 4 Diploma, with the aim of achieving Chartered status