To competently provide financial advice to clients within compliant guidelines of both the Regulator and the Firm.
To ensure that your agreed personal business production objectives are achieved. To competently and compliantly provide ongoing service to the firm’s clients and professional connections.
Skills and knowledge:
- An Approved qualification (e.g. CII Diploma)
- Detailed knowledge of the firms and FCA record keeping
Keeping up to date with new products, technical or legislative changes within the marketplace
Complying at all times with the Compliance and Training and Competence Procedures of the firm
Complying at all times with the requirements of the Financial Services and Markets Act, 2000 and the FCA Principles & Code of Practice for approved persons and rules
Assess clients overall financial picture, understand their needs and develop a suitable financial plan.
Generate leads and seize opportunities to work with professional introducers through active prospecting and networking
Gather sufficient client information to "Know your customer", identify client needs and prepare suitable financial recommendations.
Cultivate existing client base to generate further opportunities for referral and new business
Actively seek opportunities for marketing and business development for follow up on a group or personal basis.
Meet company service charter standards and manage to client’s requirements
Attain and maintain competent status as defined by the Regulator and the Firm.
Maintain performance standards in accordance with those outlined in the Key Performance Indicators section of the T & C procedures.
Via self assessment and feedback, identify CPD needs to maintain and enhance Competent status and undertake appropriate activity to meet those needs.
The above is not an exhaustive list and you will be expected to perform different tasks in the pursuance of the overall business objectives of the firms.
- Financial Services
- Independent Financial Advice
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