Investment Adviser

Purpose of Role

Business Development:
Agree a business development plan to ensure the firm's qualitative and quantitative business measures are achieved.
Establish contact with potential clients, through provided “firsts” and referrals.
Review existing clients' circumstances and address as appropriate.
In all cases, obtain the required information to enable a full analysis of the clients' needs to be conducted; construct appropriate solutions to the principles of best advice; product reports and recommendations to the firm's standards and implement solutions agreed with clients.
Ensure that the firm's high standards of client care are met by demonstrating competence in all stages of the advisory process, operating at all times within the Rules of the FSA as documented in the firm's Compliance Procedures.
Ensure all associated administration is completed in an effective manner to meet the firm's record keeping and file quality requirements, including monitoring all cases of outstanding compliance within his/her remit.
Operate at all times within the rules of the FSA.
 
Personal Development:
Ensure competence is attained within the prescribed timescale by undertaking the training programme and additional developmental activities as required by the firm.
Ensure maintenance of competence by constantly reviewing own training needs and, in conjunction with Supervisor, addressing those needs in an appropriate and timely manner.

Qualification/Capabilities:
To hold an approved qualification to give investment advice