Our client is an established Wealth Manager who provide Investment Management & Financial Planning to private clients, instituions, trustees and charties. They are expanding their current team due to continued growth
Identify, prospect and develop clients
- Prospect / contact potential clients in accordance with the business plan
- Conduct in-depth reviews of clients' financial circumstances, current provision and future aims.
- Analyse information and prepare plans best suited to individual clients' requirements.
- Complete risk assessment as appropriate.
- Researching the marketplace and providing clients with information on new and existing products and services.
- Design financial strategies;
- Assist clients to make informed decisions.
- Research information from various sources, including providers of financial products.
- Review and respond to clients changing needs and financial circumstances;
- Negotiate with product suppliers for the best possible rates;
- Ensure suitable recommendations are made.
- contacting clients with news of new financial products or changes to legislation that may affect their savings and investments;
- Ensure all supporting documentation is maintained.
Risk Management and Compliance
- Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.
- Comply with the relevant compliance, TCF, T&C, financial crime anti-money laundering, data security, anti-bribery, fraud and corruption) at all times.
- Provision of advice to clients in a compliant manner as detailed in the firm's compliance manual and procedures.
- Ensure a current, in date Statement of Professional Standing (SPS) is held at all times
- Attain and maintain level of competence as required by the firm.
- Maintain all standards of performance as required by the firm.
- Ensure relevant CPD is maintained and recorded accurately.
Skills and Experience
- The requisite technical knowledge and qualification (e.g. QCA Level 4 exams)
- Excellent communication and listening skills
- The ability to explain complex information clearly and simply
- The ability to analyse and research information
- Good sales negotiation