FINANCIAL ADVISER - DORKING

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@artemisrecruitment.co.uk