Would you enjoy helping create a dynamic culture focussed on client service?
Could you help us build our business as we endeavour to shape the future of Financial Planning?
What you'll be doing:
1. Regulatory Horizon scanning (suitability of advice & associated supporting angles)
Changes in Regulation
Changes in Legislation
Application, interpretation and best practice
2. Setting, developing and maintaining the advice control framework
Ensuring the advice process is in line with SPW Risk Appetite. Focussing on good consumer outcomes, TCF and High Level Principles to ensure we are regulatorily compliant principally through the following areas:
Know Your Customer
Advice Rules & Guidance
Suitability Reports & associated letters
Ensuring that through the above, the advisers have processes and guidance that are clear, concise and unambiguous references for their role. These must remain compliant, relevant and fit for purpose in their use while feedback is acted upon promptly.
3. Adviser Tooling
All adviser tooling is fit for purpose in relation to the above in delivering good consumer outcomes and are operated in line with regulator feedback and guidance.
4. Transformational and project work
Propositional changes & new product launches
PDPS Self Certification
5. Advising and supporting the business
Providing input, guidance and support to other areas of the business as and when required, including for example:
Brochureware and Collateral Literature for Advisers and Clients
Ensuring SharePoint & Engage are accurate and up to date
Qualifications, experience & background
5+ years relevant experience
Qualifications: QCF Lv4 Diploma or equivalent as a minimum. Ideally QCF Lv6 or actively studying towards.
Experienced in the suitability of advice, the FCA COBS Suitability assessment and
Technical expert in protection, retirement planning, investments, taxation, trust and estate planning, financial services products and FCA regulations.
Ideally experience in management of a team
CPD: All members of the team are expected to completed the required levels of CPD as per CII. 35 hours, with 21 hours being structured
You belong here
At Schroders Personal Wealth, we welcome all. All colours, cultures, genders, beliefs, religions, ages, people.
We depend on the unique approaches of our team members to help us meet our ambitions.
We are committed to increasing diversity across our team and ensuring that Schroders Personal Wealth is a place where people from all backgrounds can make an impact and reach their potential.
Work in a way that works for you
When it comes to flexible working, we'll do our best to accommodate your needs with our flexible working policy. Please enquire in your interview.
What we'll give you
You can expect a career that's full of opportunity and support to help you develop. We offer a competitive total reward package, which means you share in the success you help create.
A market leading defined contribution pension scheme.
An additional 4% of your annual salary in a Flexible benefits package that you can select and pay for conveniently via a salary deduction or take as cash.
25 days holiday allowance plus bank holidays.
An incentive scheme, based on the company's performance and your contribution to it.
Schroders Personal Wealth combines over 400 years of expertise from Lloyds Banking Group and Schroders plc, two leading British companies partnering to bring financial planning services to more people in the UK.
Our focus is on the personal relationship we develop with our customers, underpinned by leading edge technology, multi-channel customer reach and global investment expertise.
We aim to become a top UK financial planning business within five years. Would you like to be part of making this possible?
Does this sound like a role that you'd like to know more about? If like us, you're more motivated by customers than by targets, and you'd thrive in a culture that is values and client led - then we'd love to hear from you.