FURTHER PARTICULARS. INDEPENDENT FINANCIAL ADVISER Private Client National Opportunities

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FURTHER PARTICULARS INDEPENDENT FINANCIAL ADVISER

Private Client – National Opportunities THE COMPANY

In the increasingly complex UK financial services market Chase de Vere are known as experts in our field. We have been a trusted source of independent financial advice for over 40 years, which makes us one of the UK’s longest established practitioners.

Backed by Swiss Life, one of Europe’s largest personal finance groups, we are well placed for the longer term and able to exercise our position and influence in the market for the benefit of our clients. We act for individuals as well as companies and their employees, all of whom seeking to prosper financially from our tailored financial advice.

We believe in giving holistic advice that complements our clients' personal financial goals. We do this by first getting to know our clients and their objectives and then offering them solutions that work towards their goals.

As independent financial advisers we are free to choose products from the entire UK financial services market. This means our clients can be sure that whatever advice and solutions we offer, we offer them with complete impartiality as we are not beholden to any given product provider. Any products we put forward we will have chosen for their value for money and their suitability for our clients' individual circumstances. We believe this is the only route to ‘best value’ appropriate advice.

Origins of the Chase de Vere brand

• 1969 Thomson's Financial Planning established • 1982 Chase de Vere Investments established

• 2000 Bank of Ireland acquires Chase de Vere Investments • 2004 Thomson's acquired by AWD Holding AG

• 2005 AWD acquires Chase de Vere Financial Solutions from Bank of Ireland • 2005 AWD Chase de Vere brand created

• 2013 Chase de Vere brand created and became a member of the Swiss Life Group

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Our locations

We have offices throughout the UK and pride ourselves on delivering all the capabilities you would expect from a large national organisation at a local personalised level.

THE DEPARTMENT – PRIVATE CLIENT

The role holder will join a team of over 180 professionally qualified Private Client Independent Financial Advisers, located across our 13 offices. Offering an independent, personal and proactive advisory service to our clients, our Independent Financial Advisers will typically provide advice on the full range of financial planning services such as: investments; retirement; tax; education; savings; protection; long term care and mortgage planning.

Along with administrative support to assist them in their roles our Independent Financial Advisers also have access to a number of central service functions such as Research, Marketing, Professional Development and Training and the Legal and Regulatory Department.

THE LOCATION

We currently have vacancies for Private Client Independent Financial Advisers at 11 of our 13 offices. The offices with vacancies are as follows:

Basingstoke Bath Birmingham Cambridge Cardiff Chester Glasgow Leeds London Manchester Newcastle THE ROLE

The role holder will provide holistic financial planning to prospective and existing clients, providing professional financial advice to meet customer’s needs and objectives using Chase de Vere’s defined business standards. The role holder will always act in a compliant manner, providing excellent customer service and adhering to the Financial Conduct Authority principles of “Treating Customers Fairly”.

The role holder will plan and work towards achieving and exceeding individual business targets as agreed with their Senior Manager. This will be achieved via the professional servicing of existing clients as well as identifying and capitalising on opportunities to expand business through, for example, the generation of referrals, running seminars and creating links with local professional introducers.

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ROLE PROFILE

Job Title: Private Client Independent Financial Adviser Reports to: Senior Manager

Job Purpose:

To provide holistic financial planning to prospective and existing clients in a compliant manner, providing exceptional client service adhering to the Financial Conduct Authority principles of “Treating Customers Fairly”.

Job Context:

Providing professional financial advice to meet customer’s needs and objectives using Chase de Vere’s defined business standards.

Organisation Structure:

Key Dimensions:

To plan and work towards achieving individual business targets as agreed with line management.

To work to the standards set by Chase de Vere and monitored by your Senior Manager.

Senior Manager Regional Manager

Private Client Independent Financial Advisers

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Key Accountabilities:

• To work to the Professional Development scheme requirements and regulatory standards as issued by Chase de Vere.

• Undertake regular and frequent fact-finding, presentation, and servicing review meetings with line management and other company facilitators.

• To undertake regular and frequent meetings with your Senior Manager.

• To develop and action an acceptable and effective business plan with your Manager. • To agree at outset with all clients the level of service they should expect depending

on whether they are active or transactional clients.

• To provide excellent client service to your active client bank and provide at least one servicing meeting per annum.

• To conduct all client meetings in line with Chase de Vere’s business standards. • To contact all leads supplied in an agreed timescale with line management. • To provide feedback on all leads via agreed business processes.

• To generate a business pipeline level sufficient to meet your business targets. • To meet activity levels as agreed in your Business plan with line management. • To use the research panel when selecting advice.

• To maintain and ensure client files are kept up to date to ensure the audit trail of advice, service and transactions is maintained in full accordance with business standards.

• To construct Investment Reports ensuring all information is correct and that the content meets the criteria set by Chase de Vere’s business standards.

• To communicate in an effective manner with your administration team or dedicated resources.

• To ensure the IT systems are used and information on them kept up to date to meet business standards and line management requirements.

• To provide sufficient Management Information to respond to the needs of line

management to understand the business activities you are or want to be engaged in. • Undertake ongoing continuous professional development.

• Increase technical knowledge in specialist areas. Relationships: External Clients Product Providers Professional Introducers Internal Senior Managers Administration Legal and Regulatory

Marketing and Advice Services Corporate Consultants

Finance HR IT Challenges:

To meet above average industry business quality and service standards To provide exceptional client service

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THE SUCCESSFUL CANDIDATE

The qualities we expect the successful candidate to demonstrate are outlined in the following person specification.

Essential Preferred

Qualifications

• Diploma Level 4 Status  Chartered Status Knowledge and Skills

• High level of confidence and ability with sales and presentational skills • Exceptional interpersonal skills and

telephone manner • High quality of personal

organisational skills

• Ability to work in a team environment • IT literate

Experience • Previous experience of working as an

IFA and a proven track record of meeting annual sales targets.

Personal Attributes • Drive and motivation to deliver and

exceed business targets

• Eagerness to learn and develop skills and knowledge continually

Other • Able to manage own diary but may

often need to attend appointments in client’s homes and/or out of hours. • Full driving licence and access to

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TERMS AND CONDITIONS OF EMPLOYMENT

NB: Please note this information is provided as guidance only and does not form part of the contract of employment.

Salary Year 1 and 2

A basic salary, associated to an annual revenue target, will be paid in year 1 and year 2. During year 1 and year 2 of employment the Adviser will receive quarterly bonus payments for business written that exceeds annual targets.

Year 3 onwards

From year 3 onwards the Adviser will transfer on to the Company’s Variable Contract with a basic salary of £18Kpa (including car allowance). Commission payments will be made based on a percentage of new business/trail income. Commission payments are banded and depend on the amount of business written.

Hours Normal full-time hours are 35 hours per week, 9-5pm, Monday to Friday (1 hour for lunch). However, Advisers will be expected to be flexible with their working pattern and do such hours as are necessary to properly fulfil the requirements of their role.

Car Allowance Annual basic salary is inclusive of car allowance. Mileage rates are 18p per mile petrol cars, 16p per mile for diesel cars Holiday 25 days holiday per year, rising to 27 days after 3 complete

years service then by 1 additional day per year up to a maximum of 30 days.

Flexible Benefits Employees can spend a maximum of 20% of basic salary on a range of flexible benefits.

Death in Service Death in service benefit of 4 x basic salary during years 1 and 2 of employment and a flat rate of £120K from year 3 onwards. Probation The standard probationary period is 6 months

Term Permanent

References/Checks Offers of employment are subject to:

a) The receipt of satisfactory references from past employers sufficient to comply with Financial Conduct Authority requirements.

b) Satisfactory credit references. c) Confirmation of current qualifications. d) Copy of current valid driving licence.

e) Confirmation by the individual that they have no criminal records and that no disciplinary action has been taken

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Financial Conduct

Authority Approval All offers of employment and continued employment are subject to registration and ongoing authorisation by the Financial Conduct Authority.

Disclosure In order to assess the ‘Fitness and Propriety’ of a candidate to perform a controlled function, all candidates for this position are required to disclose whether they have a current conviction. In addition, this vacancy has been defined as being exempt from the Rehabilitation of Offenders Act (1974). As such, short listed candidates will be required to declare full details of any criminal background, regardless of how old a conviction may be. The successful candidate will be required to apply for a standard Disclosure from the Criminal Records Bureau.

A criminal record will only be taken into account for recruitment purposes, where the conviction is relevant to the position being applied for, and where this is the case, will not necessarily bar candidates from employment. Any decision will depend on the precise nature of the work and the circumstances and background to the offences(s).

HOW TO APPLY

If you would like to apply for this position please submit a CV and covering letter to adviserrecrutiment@chasedevere.co.uk

or by post to: Adviser Recruitment Chase de Vere Group Plc HR Department

PO Box 148 Manchester M32 0WS

Closing date of applications: Ongoing

We very much regret that due to the large number of applications we currently receive, we are only able to inform short listed candidates of the outcome of their application. If you do not hear from us within two weeks of submitting your application, please assume that you have been unsuccessful on this occasion. We would like to assure you, however, that every application we receive is considered in detail and a short list only drawn up after careful reference to a detailed person specification.

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References

Related subjects : Opportunities for further work