Deputy Head of Financial Planning

Reference:
VAC-15
Sector:
Compliance, Wealth Management
Salary:
Salary negotiable
Town/City:
London
Contract Type:
Permanent

Responsibilities:

  • Assisting the Head of Financial Planning in the development of Financial Planning and related advice within the group.
  • Responsibility for delivery and communication of comprehensive advice guidance to the group through monthly consultant meetings, adviser and staff presentations, workshops and 1:2:1 training sessions
  • Assisting the Head of Financial Planning in the development of documented Advice Guidance, ensuring that periodic deadlines set are met and necessary documentation delivered
  • Responsibility for advice training and communications to all departments within the Group as Deputy to the Head of Financial Planning
  • To deputise for the Head of Financial Planning, as the recognised authority and face of the Group to external media, on all Financial Planning-related advice areas, with responsibility to build the credibility as a financial planning brand
  • Assistance with the development of the Independent Centralised Research tool, ensuring it is technically robust and meets the requirements of independence
  • To identify advice risks for dissemination to the Head of Financial Planning in order for guidance to be provided to the Head of Risk, if necessary
  • Assisting the Head of Financial Planning and the Group’s CIO in creating and maintaining investment solutions that are closely connected to the financial planning needs of our clients and the product research and advice guidance delivered
  • Assisting the Head of Financial Planning and the Group’s CIO with strategic delivery of services, wraps and platforms to the firms stakeholders in order to deliver investment services
  • Assisting the Head of Financial Planning and the Group’s CIO in ensure our investment services meet any VAT requirements where appropriate.
  • Participating in weekly communication meetings between Head of Risk, Head of Sales & Training and managers of the Advice & Regulatory Support department in the Head of Financial Planning’s absence
  • Assisting the Head of Risk in the effective management of the Group’s relationship with the FCA and other key stakeholders

Key Risk Responsibilities

  • To ensure advice risk exposure is minimised
  • Development of technical expertise and advice policy throughout the business

Key Performance Measures

  • Feedback from Complaints
  • Advice quality control via file audit, breach and pre-approval feedback
  • Progress of documented advice guidance policy
  • FCA audit feedback
  • Feedback from Head of Financial Planning
  • Feedback on thematic analysis throughout the department and the business
  • Feedback through MI throughout the business