Client area

We are recruiting a financial adviser to join our telephone Connect team in Birmingham.

Job Title:

Independent Financial Adviser (Connect Team)

Reporting to:

Connect Relationship Manager


Office Based


  • To deliver telephone based advice to clients who are considered suitable for the Connect proposition, i.e. clients paying less than £1,000 annual fee
  • To build relationships with the telephone clients, understand their needs and where appropriate refer them to the face to face advisers where needs exceed that of that provided through the telephone based service
  • Holistic financial advice, supporting our clients to achieve their financial objectives
  • Developing client relationships and ensure clients are reviewed in line with their proposition
  • Driving a referable culture within the Connect clients and encourage referral to both face to face advisers as well as generating referrals for the Connect proposition
  • Organically grow client relationships to meet ongoing business requirements
  • To reach revenue target and contribute to the growth of AL 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 services


  • To transition clients to the appropriate Connect Service Proposition.
  • Work pro-actively with the Compliance team.
  • Suggest new ideas and help implement with Connect Team Manager support.
  • Meet set KPIs both in terms of service, sales and compliance.
  • Maintain suitable service levels to support the client proposition.
  • Ensure that all CPD logs and training is up to date and the individual is aware of upcoming changes in legislation that may impact on advice given, so that a mitigations strategy can be built into advice.
  • Deal with on-going client expectations and care.
  • Support the Treating your Customers Fairly (TCF) initiative.
  • Develop holistic client relationships in line with our Connect 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 in accordance with their agreed service propositions to maintain and grow our recurring revenue stream

Responsibilities continued:

  • 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
  • Undertake quotes using relevant in-house platforms or request quotes from external providers
  • Undertake the necessary research and analysis, including:
    - Fund analysis
    - Product comparison and product analysis
    - Fund research
    - Charges analysis
  •  Compile suitability reports detailing the recommended advice to suit the client’s needs, uploading the report into the system to allow for Tax, Compliance to view where appropriate

 Experience & Core skills

  • Financial Planning diploma qualified (ideally Chartered or working towards Chartered)
  • Demonstrable financial planning experience gained with a recognised organisation
  • Excellent communication skills (both written and verbal), with the ability to explain complex financial arrangements
  • Demonstrable track record of delivering challenging sales targets within a regulated environment
  • Knowledge of back office systems
  • Keen attention to detail
  • Collaborative working
  • Previously achieved CAS status
  • Ensure that all CPD logs and training is up to date
  • Up to date knowledge of industry and legislative changes that may impact advice, allowing for mitigating strategy to be built into advice

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