Financial Adviser
Descrizione del posto
Texte original importé depuis Reed
Our client is seeking a motivated and qualified Financial Adviser to join their Dorking office. They are looking for someone with FCA certification and strong financial planning experience who can provide tailored advice, support clients effectively, and contribute to the growth of the office. This role offers excellent career progression opportunities, including the potential to achieve Chartered status and advance within the team.
About the Role
Our client is seeking a qualified Financial Adviser to join their team in Dorking. The successful candidate will provide tailored advice to clients based on their individual circumstances and objectives, while ensuring compliance with FCA regulations and company policies.
Key Responsibilities
Client Advice & Management
- Prospect and contact potential clients in line with business plans
- Gather sufficient client information before making recommendations
- Ensure portfolios are managed according to client mandates and objectives
- Undertake product and market research to provide suitable advice
- Maintain accurate supporting documentation and client records
- Handle client queries efficiently and professionally
- Ensure clients are treated fairly, including identifying vulnerable clients
Compliance & Governance
- Maintain current Statement of Professional Standing (SPS) and CPD records
- Follow firm compliance procedures (T&C, complaints, financial crime, AML, anti-bribery, data protection, conflicts of interest, inducements, record keeping, best execution)
- Stay up-to-date with regulatory, product, and technical requirements
- Liaise with admin support, paraplanners, and other team members as needed
General Professional Responsibilities
- Maintain “Fit & Proper” standards for the role
- Ensure all client contact is professional and courteous
- Comply with Financial Services and Markets Act 2000, FCA Conduct Rules, and other relevant regulations
Skills & Experience
- Knowledge of relevant legislation affecting the financial services industry
- Strong written and verbal communication skills
- Competent with general IT systems and report writing
- Ability to work collaboratively within a team
Qualifications
- Minimum: Level 4 Diploma in Financial Planning
- Aim to achieve Chartered Status
Why Join?
-Opportunity to develop professionally in a supportive environment
-Work with a growing client base and dynamic team
Job Type: Full-time, Permanent | Hybrid Working: 4 days in office, 1 day WFH
If you’d like to apply or find out more, please send your CV to Josie at Artemis Recruitment.
Competenze chiave estratte
La nostra IA ha analizzato l'offerta per identificare le competenze richieste.
I nostri consigli per candidarsi
5 recommandations générées par notre IA pour maximiser vos chances.
⭐ Lead your Personal Statement with your FCA authorisation status and Level 4 Diploma in Financial Planning, as these are the minimum entry requirements stated in the advert.
📊 Quantify your client base: e.g. 'Managed a portfolio of 85 clients with combined AUM of £12M, achieving 94% annual retention rate' to demonstrate tangible impact.
🎯 Explicitly reference your CPD compliance and current Statement of Professional Standing (SPS) in your CV — the advert lists these as ongoing responsibilities, so showing you already manage them signals low onboarding risk.
🏆 If you are working towards or hold Chartered Financial Planner status, call this out prominently — the advert specifically names Chartered status as a career milestone they value.
🤝 Highlight experience liaising with paraplanners and admin support teams, as the advert specifically mentions cross-team collaboration as a key responsibility in Dorking.
Bullets CV suggérés
3 bullets générés par notre IA pour cette offre, alignés sur ses mots-clés ATS.
Ajoutez ces 3 bullets sous votre expérience la plus récente :
- •Managed a 75-client portfolio with combined AUM of £9.5M, maintaining 96% annual retention through proactive annual review meetings and FCA-compliant suitability documentation.
- •Identified and implemented a vulnerable client flagging process across 3 adviser desks, reducing compliance review flags by 40% over 12 months in line with FCA Consumer Duty requirements.
- •Completed 35 structured CPD hours annually over 3 consecutive years, maintaining Statement of Professional Standing and progressing to final AF5 module towards Chartered Financial Planner status.
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Votre lettre de motivation est prête
Nous avons rédigé une lettre pour Artemis Recruitment Consultants Ltd. Découvrez l'ouverture, puis débloquez la version complète personnalisée.
Aperçu — adapté à Artemis Recruitment Consultants Ltd
Dear Hiring Manager,
Artemis Recruitment's search for a Financial Adviser in Dorking aligns precisely with my current expertise. Holding the Level 4 Diploma in Financial Planning and maintaining an active Statement of Professional Standing, I have built a practice grounded in FCA-compliant suitability advice and rigorous AML and data protection procedures — the exact standards your client requires.
My background in financial planning includes managing a client portfolio of over 70 individuals, conducting thorough fact-finds, preparing suitability reports in liaison with paraplanners, and ensuring all recommendations meet FCA Conduct Rules. I have consistently maintained CPD targets year-on-year and am actively working towards Chartered status, which I understand is a key development goal within this team.
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Domande probabili del colloquio
10 questions générées à partir de cette offre.
Tecniche
- ›How do you ensure a client's portfolio remains aligned with their mandate and risk profile over time?
- ›Walk us through your process for gathering client information before making a suitability recommendation.
- ›How do you stay current with FCA regulatory changes and integrate them into your advice process?
- ›What steps do you take to identify and appropriately support a vulnerable client?
- ›How do you approach product and market research when constructing a recommendation for a client with complex objectives?
Comportamentali
- ›Tell me about a time you identified a compliance risk in your advice process and how you resolved it.
- ›Describe a situation where you had to deliver advice to a client whose circumstances had changed significantly — how did you manage it?
- ›Give an example of a time you worked closely with a paraplanner or admin colleague to deliver a better client outcome.
- ›Tell me about a time you handled a client complaint professionally and what the outcome was.
- ›Describe how you have managed your CPD and professional development to maintain your SPS and progress towards higher qualifications.
Exemples de réponses STAR
Réponses modèles avec la méthode Situation-Tâche-Action-Résultat. À adapter à votre vécu.
Tell me about a time you identified a compliance risk in your advice process and how you resolved it.
Describe how you have managed your CPD and professional development to maintain your SPS and progress towards higher qualifications.