Job Feed
Job search

Head of Advice

Recruit Wealth are currently representing a National Advisory business who are recruiting for a senior vacancy as Head of Advice. This is an exciting opportunity for an ambitious individual to maintain and develop advice services within a sophisticated financial planning model. This role is high profile within the group and as such are looking to appoint an individual that has significant industry experience and holds the appropriate qualifications. You will be responsible for guiding the firm’s advice processes and working closely with the Investment & Advice Policy Committee. Day-to-day responsibilities will include working closely with authorised representatives to manage and mitigate advice risk. Role and Responsibilities are detailed below: * Support advisers to ensure they provide clients with suitable advice outcomes * Maintain and develop the Advice Process Standards * Analyse and review existing procedures periodically and make appropriate improvements in line with best practice and regulatory changes * Review of advice process documentation and other written outputs to ensure they deliver high quality advice and service to clients * Manage improvements to the Advice Process through the Investment and Advice Policy Committee Compliance Support * Manage day to day enquiries and provide support for advisers regarding advice regulatory issues * Provision of support to the Head of Risk & Compliance in relation to handling of advice related complaints * Provide input to and support of the delivery of the Compliance Plan * Provide technical support and input to the Advice Quality Control function Business Development/On-boarding * Assist with the evaluation of potential new partner firms/individuals * Provide technical support and training of Advice Process Standards and Processes, including Defined Benefit Transfer Advice for new Partner Individuals and Firms Management and Project Delivery * Oversight/Management of the Paraplanner/report writing function * Provision of support to business development initiatives and projects * Development and collation of Advice related MI Reporting for the IAPC * Delivery of the service to advisers within defined turnaround agreements Skills, Knowledge and Experience * Advanced level of technical financial knowledge and expertise * A strong understanding of Financial Services Regulation and FCA * An excellent communicator, both verbally and in writing * Able to work well with a wide range of people from different parts of the business * Able to manage different projects at the same time * Organised; able to work well under pressure * Have good presentation skills and attention to detail * Able to recognise risk and potential compliance failures Qualifications * Diploma in Financial Planning or equivalent Level 4 qualification and working towards or obtained Chartered qualifications. This is an absolute stand out role for the right Financial Services Professional. The business is looking to hold initial interviews as soon as possible. A high basic salary alongside enhanced benefits are available

View offer