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A Broker or Consultant offers guidance towards decisions can help you meet your long-term financial goals. They are registered brokers and licensed agents trained to meet your financial goals using a variety of high quality investment alternatives.
Brokers or Consultants are proficient in offering their advisory services in a wide range of areas. These could include Retirement/ College/Insurance and Tax Planning. These persons assist clients in preparing for their retirement, assist parents having teenage kids to plan for their college education, insurance and long-term care as well as with taxes.
A Financial Consultant is responsible for generating leads, writing proposals and ensuring the success of various projects. The person has to have the requisite skills to manage a multitude of queries which may be posed by clients. Coordinating the dates of projects, identifying the requisite resources as well as handle ad-hoc requests by clients and deliver products and services.
To qualify as a Consultant, a person must have knowledge of the financial services sector and have relevant experience in the same industry. A strong consultancy background and proven experience of pitching and winning projects is always advantageous to start off on desirable terms and conditions.
A pleasing personality with excellent communication and motivational is a requirement because the person has to interface with various clients on a regular basis. |
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A Compliance Specialist is responsible for the coordination and completion of all government, regulatory, and compliance documents for all the business units in an organization.
The person should have a thorough knowledge of standard concepts, practices and procedures which may be adhered to within a specific area. A Compliance Specialist has a broad spectrum of duties. The person has to work closely with portfolio management, sales, legal and compliance to provide information and clients.
A Compliance Specialist has to work in tandem with compliance team on issues related to the provision of investment advisory services. These include the monitoring of regulatory developments, the assessment of risks, advising and educating employees, and participating in the development and implementation of policies and procedures to assure, test and document compliance with all legal requirements.
To qualify as a Compliance Specialist one must have a bachelor's degree in a related area and 2-4 years of experience in the industry. Excellent communication skills, both oral and written, an eye for detail, very strong analytic and problem solving skills, self motivation, and the ability to multitask and meet deadlines are some of the essential characteristics of a successful Compliance Specialist. The person has to be an excellent team player, capable of developing excellent client relationships and must have an in-depth understanding of the client's service needs.
Growth prospects are excellent and are in accordance with the performances of the individuals. Compensation packages depend totally on the proven track records and prior experience of the individuals. |
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A Business Analyst has to possess the experience of business process reengineering and business modeling concepts, business systems development and analysis. The person must have strong financial and business operations background, awareness of the business strategies, have an in-depth understanding of the company's business practices and the company's financial products and services.
A Business Analyst has to possess the relevant skills to work with end-users and determine their needs. A Business Analyst is responsible for assessing each business requirement to ensure that the urgency and importance of all requisitions. A Business Analyst must possess superior analytical and project skills. These should be coupled with excellent communication skills, organisational and interpersonal skills.
The person should be able to establish a good healthy relationship with all clients, be responsible for creating policies and procedures. The person is responsible for the timely deliverables in accordance with project plan guidelines. Ability to understand and write user requirements and process flows is essential.
To qualify as a Business Analyst a person should have at least a work experience of 5 years in a similar responsible position or have the requisite work experience in a Finance industry. A qualifying bachelor’s degree is a must.
The most suited candidate will have at least 5 years commercial experience as a Business Analyst and 2 years experience of working in the Finance industry as a Business Analyst. A person with project management experience and excellent communication skills who can demonstrate the proven ability to build and maintain successful relationships in the business community are the traits of a successful Business Analyst. The job profile offers excellent packages commensurate with one’s experience and persons with proven track performances can scale the ladder with ease.
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An Independent Investment Researcher will be responsible for establishing new business opportunities and developing the existing client database.
The person has to highly intellectual in this area of operations to be able to provide both, product and technical information. He/she has to provide clients the best of advisory services pertaining to pensions, investments and life assurance. This has to be offered on an individual and corporate level. Thus, independent financial advice forms the crux of this job profile.
An investment Researcher must be a motivated self starter and a highly inspiring team leader. In-depth knowledge of the products is a must. He/she should be able to offer appropriate solutions to the principles of best advice, produce reports of recommendations to the firm’s standards and implement financial plans as agreed with clients.
To qualify as an Investment Researcher, the person must possess the Full Financial Planning Certificate and CAS. Prior experience of having worked independently is a definite advantage.
The incumbent plays a highly responsible role and has to devote long hours for the desired results. Salaries packages are in accordance with the person’s proven track record in the past and the performances in the present. |
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A Mortgage Advisor has to have an excellent understanding of the current market and the various products. Besides being a good communicator, the person has to be proficient to deal with his/her clientele regarding their financial needs and provide excellent customer service to all of them.
The person has to be an excellent relationship individual to build and maintain long-lasting relationships, be knowledgeable to counsel borrowers on appropriate loan products and be responsible for pre-approvals and pre-qualifications.
A Mortgage Advisor should have at least one year’s experience either in a Bank or a building society and should be Part or fully CeMAP qualified. This job profile involves utilizing prior experience and techniques to benefit activity when generating new business and sales. Besides this the individual should be able to perform within specified deadlines and posses fantastic customer service skills.
The compensations are highly attractive and always carry very good benefits. |
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A Multi Tied Advisor’s role involves providing total wealth management solutions to ensure that each customer/client can be looked after fully by the company.
The person must have direct client management experience. This could be either as a tied or as an independent adviser. The person must be able proficient to work within a targeted environment and uphold the principle of generating long-term relationships with clients.
The chief responsibilities of this profile are the presentation of seminars, maintaining excellent client and service level relationships and providing multi-tie advice on all areas of life, pensions, investments and mortgages.
To qualify for this job profile, a person must have prior experience of having worked in a similar environment and have a proven track record. Individuals must be academically qualified having completed the pre-requisite of a bachelor’s degree in the specified area, and should have held a competent adviser status.
This job profile is considered to be a highly rated one in terms of both challenges and compensation and a person can reap attractive perks as well depending on his performance and success. |
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Financial Services Job Titles |
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