Trainee Desk-based Independent Financial Adviser

Are you looking for a client-facing advice role with regular hours? Maybe you’ve recently qualified and you’re looking for your first advice position, or you’re after a position to use as a springboard to future field-based roles?

Wherever you’re at in your advice career, the Wren Sterling Connect Team has a role for you.

We work with thousands of clients to make sure their financial advice is the best it can be. We manage high numbers of client reviews but we write new business too and there’s always a steady stream of new opportunities to work through.

We work on a desk-based manner, so there’s flexibility on your working location. We keep regular office hours but we can work around your schedule and we’ve got a fantastic team ethic, supporting each other to get the job done.

We’re proud of our high client service standards and the level of qualification in the team and through Wren Sterling’s Talent Development Programme, we’ve helped team members complete further qualifications and stay at the top of their profession.

Principle Objectives and Responsibilities:

Include the following but not exclusive to:

• Establish contact with clients and gather sufficient information needed to provide suitable advice applying the principles ‘know your client’. Ensure that there is enough material information to support the recommendations and advice that you give.
• Be able to analyse client information conscientiously and accurately in order to provide suitable advice.
• Be able to work at pace and be flexible due to the large volumes of clients
• Present suitable advice to clients in a concise and balanced manner, explaining clearly charges, fees and disadvantages together with the main reasons for the advice.
• Complete all basic documentation for the advice in a thorough and conscientious manner.
• Complete all Wren Sterling checklists when submitting new business
• Ensure that the suitability letter is clear and caters for all the areas covered in the Financial Conducts Authority guidelines / rules using paraplanning resource where appropriate.
• Be adequately prepared for regular and annual review meetings with supervisor.
• Be aware of the performance standards within the firm as set out in observation aids and within company policy and ensure these are maintained at all times.
• Ensure suitable and relevant CPD is undertaken to maintain competence in the role. Ensure that learning is applied to the workplace in a timely fashion and its application reviewed.
• Be responsible for your own SPS and ensure this is renewed before expiry.
• Maintain accurate records of relevant and suitable CPD carried out. It will be the adviser’s responsibility to maintain their own training file and keep it up to date.
• Be aware of limits of authorisation in particular know when to refer business to a more qualified individual, for example pension transfers.
• Adhere to all company process and procedures
• Maintain client records on Intelligent Office to ensure they are up to date and accurate.
• Develop and maintain effective relationships with clients, colleagues and product providers.

Knowledge Required

Knowledge of the financial planning market including products and services:

• Working knowledge of FCA Rules, Guidance Notes and Commitments that apply to job role.
• Diploma in Financial Planning

Skills Required

Essential skills:

• IT literate, including all Microsoft Packages
• Confidence to deal effectively with clients, colleagues and product providers.
• Ability to efficiently manage priorities and workloads
• Time Management and the ability to stick to strict deadlines
• Self-motivated
• Customer focused
• Ability to promote a team spirit and sense of purpose
• Ability to work under pressure
• Problem Solving
• Decision-making
• Prioritisation

Desirable Skills:

• Experience of Intelligent Office

Key performance Indicators

The performance of the staff member assigned to this job role function shall be measured by:

• Positive feedback from customers and team members
• Team Player and good working relationships with colleagues
• Accurate Management Information
• Maintain computer records and task system
• Internal and external customer satisfaction measures
• Adherence to all company policies and procedures
• Adherence to compliance and other legal regulatory processes

The above statements are intended to describe the general nature and level of work being performed by the person taking the role of this job. They are not intended to be an exhaustive list of all responsibilities and activities required of the position.