Financial Adviser (self-employed)

Financial Adviser (self-employed)

EGR/10735

Financial Services

£50,000 - £120,000

29/07/2022

Due to a retiring Adviser, a rare opportunity has arisen for an experienced Adviser to join an established, small IFA Firm in Teesside.

This is an ideal role, either for an employed Adviser wishing to move across into a self-employed capacity or, for a self-employed Adviser who is seeking additional clients and support.

Your role will be to predominately service the existing client bank, developing further business within and to generate new business, with support. The majority of clients are in the North East area, with a few dotted around the UK, therefore a limited amount of travel will be required.

Responsibilities:
•        Obtain new business from existing clients where applicable
•        Offer a range of advice appropriate to the Adviser’s competence
•        Develop and service new and existing sources of income
•        Achieve persistency rate of at least 90% of completed cases still in force after 12 months
•        Communicate easily understandable recommendations to customers in all cases, and in writing
•        Create compliant client files where all communications are documented correctly
•        Demonstrate principles of Treating Customers Fairly in all customer dealings
•        Be aware of and complying with the rules of the FCA and the set procedures of the business to achieve compliance
•        Ensure any rule breaches are brought to the attention of the Compliance Oversight Officer
•        Obtain and maintain an active ‘Statement of Professional Standing’ (SPS)
•        Complete CPD activity to meet identified needs and complete training activity records accordingly
•        Submit Fit & Proper checking documentation annually

Support includes:

  • Existing client bank, with handover from exiting Adviser
  • Additional clients available, plus lead generation, if required
  • Admin support
  • Access to North East office
  • External compliance support

Level 4 Diploma in Regulated Financial Planning (or equivalent)

·        Experienced Adviser holding CAS
·        Existing clients not essential
·        Must possess a high level of integrity
·        Strong work ethic
·        Ambitious and keen to deliver a quality service
·        Full driving licence and own vehicle

Are you interested?


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