Independent Financial Advisor

Brewster Pratap
16 May 2018
15 Jun 2018
Contract Type
Full Time


Brewster Pratap are currently supporting a local Chartered Accountants for find their next Independant Financial Advisor.

The role is based across Rotherham and Doncaster.


To provide clients with a range of independent financial advice services within FCA rules and the firm's procedures that meets their requirements and complies with the requirements of the regulatory authorities.

The team is multi-functional, including when required, Valuations, Anti-Money Laundering, control of assets, Office Service functions. The jobholder needs to be an excellent team member, with a flexible approach to working.


  • Keeping up-to-date with new product, technical or legislative changes within the marketplace.
  • Complying at all times with the Compliance and Training and Competence Procedures of the firm.
  • Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles, Rules and the Code of Practice for Approved Persons.


  • Signing off all pension transfer and opt out cases before the recommendation is sent to the client using an agreed checklist (NB: including transfers and opt outs for final salary occupational pension schemes).
  • Establishing a professional working relationship with clients both new and existing.
  • Establishing professional working relations with other departments and staff.
  • Identifying business opportunities within the existing client bank of accountants and pursuing these opportunities
  • Identifying and contacting potential clients outside of the group. Gathering sufficient client information and identify client needs;
  • Analysing information gathered and undertaking sufficient research to make suitable recommendations.
  • Completing all supporting documentation accurately;
  • Agreeing and achieving business and personal targets
  • Working in a way that complies with regulatory requirements;
  • Meeting regulatory requirements in respect of qualifications and ongoing professional development;
  • Contributing to the procurement and processing of new business;
  • Servicing of the client bank and client portfolios as required and in accordance with strict FCA Regulations and internal procedures;
  • Providing a high quality after sales service to clients;
  • Maintaining performance standards in accordance with those outlined in the Key Performance Indicators section of the Training and Competence procedures.
  • Adhering to strict FCA Regulations and internal procedures;
  • Promoting FSD and its services to the wider community and representing and promoting the firm in formal and informal situations, attending seminars and networking events as a representative of the firm.
  • Attaining and maintaining competent status as defined by FCA and the firm.
  • Via self-assessment and feedback, identify Continuing Professional Development (CPD) needs to maintain and enhance Competent status and undertake appropriate activity to meet those needs.
  • Attending training/courses as required and maintaining and adequate level of CPD.



  • CII Diploma in financial planning
  • Pension Transfer (AF7/G60) ideally
  • ICT - Word, Excel
  • Detailed knowledge of the Financial Services Act and the firm's record keeping requirements.
  • Working knowledge of Intelligent Office, F E Analytics, O&M Profiler, Old Mutual Wealth Platform, Standard Life Wrap and James Hay Platform


Brewster Pratap Business & Office Support is a division of the Brewster Pratap Recruitment Group focusing on the recruitment of talent in administration, business support, HR, sales, marketing and purchasing jobs in in South Yorkshire, West Yorkshire, East Yorkshire, North Yorkshire, Lincolnshire and Nottinghamshire. If you are interested in discussing this job in more detail or any other aspect of business and office support recruitment we would really like to hear from you. Please visit our website at for more information.

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