Job Decription:
Our client is an independent, privately owned provincial firm with big city experience, owned and managed by its directors. Based in Hertfordshire, they have grown and developed in line with the local business community; which is thriving. Their clients range from PLCs to sole traders, the comfortably retired to budding entrepreneurs. They provide a personal touch to develop bespoke solutions for the diverse needs of all their clients.
The role
Keeping up to date with new products, technical or legislative changes within 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 FSA Principles, Code of Practice for approved persons and rules.
Specific
Identify and contact potential clients, gather sufficient client information and identify client needs.
Analyse information gathered and undertake sufficient research to make suitable recommendations.
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 organisation. To be considred for this role, you must already hold or be close to attaining the Chartered Financial Planner Status
.