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Search are currently working with a well established national wealth management and financial planning business with circa £10B of funds under management to identify a Head of Advice Policy this is a newly created role and reports directly into their Commercial Director.


The Head of Advice Policy will work at a strategic level with the Commercial Director to provide technical guidance which contributes to the goals and effectiveness of the advice team with the aim of ensuring we provide an outstanding experience for their clients and to contribute to the achievement of their vision of being the UK's IFA of choice. The role can be based from multiple locations across the UK.


Some of your duties will include:

  • Adhere to the business advice standards in order to deliver a cost effective, compliant and efficient sales and advice process
  • Provide technical expertise and a point of referral for the advice team
  • To provide training and support to the advice team on all technical aspects
  • Complete product evaluation and research (including platforms) to provide an up to date best advice panel to meet clients' needs
  • Negotiate with providers to ensure the business is on the best terms available
  • Ownership of the ongoing advice and service proposition in conjunction with the Commercial Director
  • Work closely with the Compliance team to ensure all Company procedures and guidelines, as well as FCA regulations are adhered to
  • Assess the impact of any FCA guidance and publications on the business
  • Identify, recommend and implement improvements to the advice proposition in line with policy, industry practice and regulatory requirements designed to deliver efficiency, quality and cost benefits
  • Work with the Investment Team to ensure the Centralised Investment Proposition (CIP) solutions are available via potential product partners that make up AL panels
  • Working in conjunction with the Operations Team, oversee and maintain processes within the advice function, including the use of workflows and document templates
  • Working with the Risk Team, carry out departmental risk assessments and act as required
  • Act as Committee Secretary to the Investment, Oversight & Advice Policy Committee (IOAPC)
  • Coordinate, contribute to and minute take at the IOAPC

To be considered for this role you will have:

  • Previously held a similar senior level technical position in a wealth company
  • Thorough knowledge of the financial services industry
  • In depth technical expertise in a range of financial services products, particularly investments, retirement planning (including Defined Benefits Transfers) inheritance tax planning and trust
  • Experience of risk profiling and cashflow modelling
  • Proven track record of presenting to Senior Managers and Board members
  • Work effectively in a fast-changing environment
  • Fast thinking and able to flex between strategic and tactical
  • Minimum 5 years management experience - track record of managing successful teams
  • Understanding of IO with a good knowledge of platforms and providers
  • Diploma in Financial Planning
  • Chartered status (or working towards)
  • CF30 requirement and current SPS

There is a very competitive salary along with a bonus opportunity and a comprehensive benefits package.
Please forward your CV for more information.