Responsibilities

• Contacting clients and setting up meetings, either within an office environment or in clients' homes or business premises.
• Conducting in-depth reviews of clients' financial circumstances, current provision and future aims.
• Analysing information and preparing plans best suited to individual and corporate clients' requirements.
• Completing risk analyses.
• Researching the marketplace and providing clients with information on new and existing products and services.
• Designing financial strategies.
• Assisting clients to make informed decisions.
• Researching information from various sources, including providers of financial products.
• Reviewing and responding to clients’ changing needs and financial circumstances.
• Negotiating with product suppliers for the best possible rates.
• Liaising with financial services providers and other professionals.
• Keeping up to date with financial products and legislation.
• Producing financial reports.
• Contacting clients with news of new financial products or changes to legislation that may affect their savings and investments.
• Attending networking events.
• Developing professional connections.
• Maintaining and updating individual continued professional development plans monthly, to be reviewed periodically by the Compliance Officer.
• Maintaining compliance with the FCA rules and principles for Approved Persons and Code of Practice.
• Meeting the regulatory aspects of the role, e.g. requirements for disclosure, costs of the services provided, and also the advised products.
• Act ethically, impartially and always in the best interests of clients.
• Follow the internal IEP processes and procedures.
• Ensure IEP meet the expectations of the FCA with regards to treating customers fairly.
• Act in accordance with the terms and conditions of your employment contract.