Investment Advisor/ Trainee Advisor

Andy File Associates
Rotherham, UK
11 Jul 2019
01 Aug 2019
Contract Type
Full Time
Andy File Associates are working on behalf of our client as a recruitment agency with regards this permanent position.

Purpose of the role

To competently provide financial advice to clients - within the FCA's rules and the firm's procedures.

Skills and knowledge
  • Hold a Q.C.F. level 4 qualification (or higher) that would enable a recognised professional body to issue a statement of professional standing
  • Detailed knowledge of the FCA and the firm's record keeping requirements


  • Keep up-to-date with new product, technical or legislative changes within the marketplace
  • 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
  • Comply 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
  • Act with due care, skill, diligence and integrity in performing their role

  • Identify and contact potential clients in the market (business and personal)
  • Contact clients and set up meetings, either within an office environment or in clients' homes or business premises
  • Conduct in-depth reviews of clients' financial circumstances, current provision and future aims
  • Analyse information gathered and undertake sufficient research to make suitable recommendations
  • Complete risk analyses
  • Research 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
  • Promote and sell financial products to meet given or negotiated targets, whilst meeting the clients needs
  • Complete all supporting documentation in an accurate manner
  • Provide on-going service to clients in accordance with the client's service structure
  • Consistently apply company charging structure in respect of research, initial and on-going fees
  • Attain and maintain competent status as defined by the FCA and the firm
  • Maintain performance standards in accordance with those outlined in the key performance indicators section of the training and competence procedures

The client's general company philosophy is to encourage further learning culminating in the acquisition of relevant and suitable professional qualifications. The company is therefore prepared to fund the cost of relevant examinations through the Chartered Insurance Institute and will provide 100% funding for course materials and payment for any relevant and suitable exams (but not any re-sits).

The role is an employed full-time role, but in certain circumstances can be conducted on a self-employed basis. The basic salary and overall remuneration is negotiable based on qualifications and experience.

The role is subject to a probationary period of 6 months, with one months' notice required from both parties, both during and after your probationary period.

A benefit allowance of 4% of basic salary can be used to purchase a range of flexible benefits. The benefit allowance is available after you have completed 6 months employment and is not available as additional remuneration.

The benefits available are as follows
  • Death in service scheme providing life cover of four times basic salar
  • Income protection cover set at 75% of salary, 13-week deferment payable via PAYE
  • Membership to Medicash Health scheme - Proactive Level
  • £50,000 critical illness cover

You can elect to have benefits costing in excess of the benefit allowance, but this will be deducted as a cost from your gross salary. Please note that benefits 3 - 4 are accessible as a P11D benefit.

In addition, after 3 months employment you will qualify to join the group personal pension scheme with up to a 5% employer contribution on the basis of an equivalent contribution from yourself (via salary sacrifice). The minimum employee contribution to this scheme is set at 3% and all of the percentages apply to your basic salary excluding the benefits allowance.

Bonus Scheme

You have the potential to qualify for a monthly bonus in addition to payment of the basic salary.

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