Client area

We are recruiting Corporate Financial Adviser based in the Midlands.

Reports to:

Corporate Regional Manager

Location:

Midlands based

Hours of work:

35 hours each week
With flexibility to meet deadlines as required

SMCR Function:

This is a Certified Role

Purpose of role

  • To deliver holistic financial advice, supporting our clients to achieve their financial objectives
  • Developing long standing relationships with clients through regular reviews and delivering solutions to meet their change in circumstances
  • Creating strategic alliances with professional connections with a view to develop new client relationships
  • Driving a referable culture within the client bank to encourage referral opportunities
  • 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

Key Responsibilities

  • 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 any 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 primarily for corporate clients
  • 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
  • Contribute to the Corporate Team’s business development plans and be pro-active in seeking new avenues of income generation
  • Work closely with the Corporate Administration Team to deliver exceptional client service
  • Operate in accordance with Ascot Lloyd policies and procedures including Compliance, Operational and Training & Development (T&D) as issued by the business

Key Responsibilities continued:

  • 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
  • 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.

SM&CR Responsibilities

As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.

Individual Conduct Rules

  1. You must act with integrity
  2. You must act with due care, skill and diligence
  3. You must be open and co-operative with the FCA, PRA and other regulators
  4. You must pay due regard to the interests of customers and treat them fairly
  5. You must observe proper standards of market conduct

Experience / Skills Required

  • Financial Planning diploma qualified (ideally Chartered or working towards Chartered)
  • Demonstrable corporate and individual 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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