Location: homebased with travel to the Midlands
Sector: Wealth Management / Financial Planning
Type: Full-time
Are you a Chartered Financial Planner with a passion for innovation and regulatory excellence?
We are exclusively representing a leading Wealth Manager in the Midlands seeking a Head of Advice Process (Compliance) to oversee their financial planning advice process. This is a unique opportunity to shape and enhance the advice journey, focusing on automation and mitigating regulatory risks.
About the Role:
As Head of Advice Process (Compliance), you will lead a critical project to review, refine, and automate the advice process. Working closely with the Compliance leadership team and senior stakeholders, you will identify regulatory and operational gaps and implement solutions that align with best practices. Your role will be pivotal in driving efficiency, ensuring compliance, and fostering business-wide adoption of improved processes.
This role is ideal for individuals who thrive on problem-solving, process improvement, and delivering strategic value.
Key Responsibilities:
* Process Automation: Lead efforts to automate the financial planning advice process, improving efficiency and scalability.
* Regulatory Compliance: Identify and address regulatory and operational gaps within the advice journey, ensuring adherence to industry standards.
* Stakeholder Engagement: Collaborate with the senior leadership team to design and embed best practices across the business.
* Policy Development: Shape policies and controls to ensure consistent, high-quality advice delivery.
* Innovation: Champion innovation in advice processes, driving the adoption of technology and modern solutions.
What We’re Looking For:
* Qualifications: Chartered Financial Planner status is essential.
* Experience: Strong technical understanding of financial planning products and advice solutions.
* Leadership Skills: Proven ability to influence and collaborate with senior stakeholders and teams.
* Problem-Solving: A keen eye for identifying inefficiencies and implementing process improvements.
* Compliance Knowledge: Understanding of regulatory frameworks and the ability to ensure compliance in advice processes.