Financial Adviser

Job Profile

Job Title Financial Adviser Name

Reports To Jane Maclauchlan/Director Region TL Dallas Independent

Financial Service

Location Scotland

Purpose

[Employer hidden] Services Ltd is looking for a Level 4 qualified experienced Financial Adviser

with at least 5 years or more in working within the financial services industry.

The candidate will have a passion for providing excellent client advice and ongoing servicing advice.

Financial Adviser Role Accountabilities

This is a full advice role where you will focus on delivering high-quality financial planning advice across

retirement planning, pensions, investments, savings and protection including employee benefits, such as

group life, group income protection, key person protection etc.

This role would suit an experienced Financial Adviser who has currently been looking after their own clients in

an advising role.

You will receive support with lead generation but also get involved in building relationships with professional

connections such as accountants and solicitors in the local area.

This would also be an ideal next step for a current servicing adviser who has client facing experience.

If you are looking for a secure employed role, working for a well-established family firm, this could be the ideal

next step in your career.

Responsibilities, Duties and Tasks:

• Completes all work according to procedures and standards
• Collates and verifies the accuracy of information and work provided
• Works effectively with colleagues
• Using a variety of software packages, such as Durell, Outlook, Assureweb, cashcalc, Iress – training will be provided
• Providing advice on financial funds, pension and investment products, including protection products
• Using a cash flow analysis system (preparing cash flow forecasts)
• Ensure with ongoing continuing professional development always to be up to date with tax and legislation changes
• Implementation of suitable client financial advice in order to meet and/or exceed agreed activity targets.
• Providing professional advice to private clients and corporate clients
• To keep up to date with technical and market awareness knowledge
• To ensure that the CPD requirements are maintained and logged as appropriate.
• Communicate with other advisers and working with the current team of paraplanners and administration team

Qualifications: Academic/Professional/Regulatory:

Financial Adviser Requirements

• Level 4 Diploma Qualified via CII or LIBF.
• Experience within a financial advice role
• A warm and engaging character who easily builds rapport and trust with clients.
• A polished and articulate communication style, both verbal and written
• An ability to work in a fast paced and busy role motivated to give exceptional levels of service.

Essential Skills:

• Ability to prioritise workload
• Ideally you will need to have previously worked within a Financial Services environment in a similar role for around 5 years or more
• Accuracy and attention to detail
• Strong numerical skills
• Clear and concise communication skills – oral and written
• Ability to meet deadlines/work within restricted timescales
• Flexible and reliable team member
• Ability to work on own initiative to achieve required results
• Collaborative and inclusive approach to work

Compliance/Training and Development:

• Completion of work in a compliant manner, and satisfy the auditing regime in the business

Corporate Governance

• Adheres to Conduct Risk standards and all other TL Dallas Policies and Procedures
• Understands and complies with all FCA regulations and principles applying to the role
• Make sure that the Data security regime is adhered to.
• To retain a clear desk according to the Clear desk policy
• Complaints Procedures
• Complaints Flowchart
• Financial Crime Policy – Included Anti Money Laundering
• Financial Sanctions Procedures
• Ant-Bribery & Corruption Policy – Includes Inducements
• Conduct Risk Policy
• Vulnerable Customers Policy
• Financial Promotions & Approval Procedures
• Fraud Policy
• Bring Your Own Device Policy (BYOD)
• Information Security Policy
• GDPR Policies/Procedures

TLD Values

TRUST INTEGRITY COMMITM ENT COLLABORATION