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Apprenticeship training course

Financial adviser (level 4)

Working within small businesses or large organisations such as banks, giving clients specialist advice on how to manage their money.

Qualification level
Equivalent to higher national certificate (HNC).
Typical duration
24 months
Apprenticeship category
Legal, finance and accounting
Maximum funding
Maximum amount government will fund
for apprenticeship training.
Also known as
  • business owner
  • Chartered Financial Planner
  • Financial Services Administrator
  • Manager
  • Mortgage Adviser
  • Paraplanner
Skills an apprentice will learn
  • Know your customer: Make decisions confidently and autonomously in full awareness of the risk/potential external implications attached. Know when to seek further professional input, whilst maintaining high ethical standards and adhering to Treating Customers Fairly requirements.
  • Customer service: Proactively and regularly meet the company’s stated service/quality assurance standards, including complaints procedures.
  • Customer service: Consistently support colleagues and collaborate to achieve a successful customer outcome.
  • Business development: Develop long term relationships with customers. Create new opportunities for business growth through referrals and networking. Build a new business or sustain and grow an existing business by prioritising workloads and deliver in accordance with the associated business plan.
  • Managing Risk: Apply regulatory requirements both in the role of a Financial Adviser and also as applied to the Company. Maintain, the Fit and Proper person standards as laid down by the relevant regulator(s).
  • Using systems and processes: Demonstrate technical proficiency in using the firm’s I.T. systems required to complete the advice process, maintain accurate records, and agree review meetings to sustain the client / adviser relationship. Ensure Data Protection Act is not contravened.
  • Communication skills: Build rapport and communicate with empathy. Present and explain complex information simply and clearly both orally and verbally.

Full information on Financial adviser (level 4) is available from the Institute for Apprenticeships and Technical Education.

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