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We are hiring a home-based Trainee Independent Financial Adviser.

Job Title:

Trainee Independent Financial Adviser

Reporting to:

Adviser Relationship Manager


Homebased, or as per contract of employment


  • The role of the Trainee Financial Adviser is to deliver outstanding financial planning advice to Ascot Lloyd clients
  • The Trainee will follow a structured training plan, to ensure excellent service standards, which will enable the trainee to progress into a competent financial Adviser,
  • Deliver holistic financial advice, supporting our clients to achieve their financial objectives, whilst building long standing relationships with clients through regular reviews and delivering solutions to meet their change in circumstances
  • To improve skills in forming strategic alliances with professional connections with a view to developing new client relationships, which drives a referable culture within the client bank to encourage referral opportunities
  • Organically grow existing client relationships whilst always ensuring the client’s needs are met
  • Gain an understanding of revenue targets and how to contribute to the growth of Ascot Lloyd through client retention and new business whilst ensuring the needs of the client are being considered and achieved
  • Be an ambassador for the Ascot Lloyd brand through active promotion of our propositions, values and code of conduct


Through extensive training, development and mentoring by our Learning & Development Manager, Compliance Team, Adviser Relationship Manager and other Advisers in AL, you will learn to: -

  • Develop effective relationships with clients and professional connections as one of the principal sources of new clients and maximising brand awareness
  • Develop a sustainable business model for the provision of advice to clients
  • Develop holistic client relationships in line with our client service proposition
  • Actively seek and identify new business opportunities both internally and externally to support the growth of the business
  • Provide financial advice to clients on a range of whole of market financial planning solutions
  • Provide clients with an exceptional service, ensuring that all reviews are undertaken regularly and in accordance with their agreed service propositions to maintain and grow our recurring revenue stream
  • Operate in accordance with Ascot Lloyd policies and procedures including Compliance, Operational and Training & Development (T&D) as issued by the business
  • Act in accordance with the Financial Conduct Authority’s (FCA) Statement of Principle and Code of Conduct for Approved Persons and all other regulatory bodies, including the Fit and Proper principles
  • Regularly review personal development and performance with the Training & Development department in line with Ascot Lloyd’s defined T&C scheme.
  • Achieve organisational, operational, personal and behavioural objectives, whilst demonstrating Ascot Lloyd’s values and core competencies
  • Expand client opportunities via networking with external bodies
  • Ensure that MI reporting is completed timely and accurately as directed by Ascot Lloyd or Adviser Relationship Manager
  • Meet set KPIs both in terms of service, sales and compliance
  • Support the Treating your Customers Fairly (TCF) initiative by ensuring you operate in line with FCA requirements
  • Observe the Ascot Lloyds values and operate within the standards provided

Experience and core skills

  • Financial Planning diploma qualified
  • Demonstrable financial planning experience gained with a recognised organisation
  • Excellent communication skills (both written and verbal), with the ability to explain financial arrangements
  • Knowledge of back office systems
  • Keen attention to detail
  • Collaborative working
  • Ensure that all CPD logs and training is up to date
  • Up to date knowledge of industry and legislative changes that may impact advice

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