Adviser Development Manager

3 weeks ago

York, United Kingdom BWD Search & Selection Full time

Job Opportunity: Adviser Development Manager up to £75k hybrid.


We are seeking an experienced and proactive Adviser Development Manager to join the team. This role is pivotal in ensuring both the compliance integrity of our business and the professional growth of our advisers. If you’re passionate about regulatory compliance and have a knack for developing talent within the financial services sector, this could be the perfect opportunity for you.


Role Overview


As the Adviser Development Manager, you will be responsible for overseeing the advice and sales processes, ensuring all procedures are compliant with regulatory requirements, and leading the development of our advisers. A significant part of your role (approximately 60%) will be dedicated to coaching, mentoring, and advancing the skill sets of our advisers to enhance their performance and adherence to best practices.


Key Responsibilities:


Adviser Development & Mentorship


  • Provide ongoing coaching and development to advisers, ensuring they are equipped with the knowledge and tools to excel in their roles.
  • Conduct regular one-to-one sessions with advisers, focusing on both their sales performance and adherence to regulatory procedures.
  • Oversee the development of junior advisers, guiding them through the competency framework and conducting performance observations.
  • Lead advisers through the advice process, ensuring they adhere to best practices and maintain high standards of client service.


Compliance Oversight & Management


  • Implement and maintain robust compliance procedures, ensuring adherence to FCA regulations and internal policies.
  • T&C responsibilities for the team.
  • Conduct comprehensive reviews of client files to ensure compliance with the firm’s standards and regulatory expectations.
  • Ensure all advisers hold current statements of professional standing and meet continuing professional development (CPD) requirements.
  • Regularly report compliance risks and produce key management information (MI) for the senior leadership team.


Training & Continuous Improvement


  • Develop and deliver training programmes to enhance the knowledge and skills of the advisory team.
  • Ensure that all team members undertaking insurance distribution activities meet FCA expectations.
  • Stay up-to-date with industry trends, regulatory changes, and economic developments, ensuring both your personal and team’s knowledge remain current and relevant.


Risk Management & Reporting


  • Identify and report significant compliance risks to senior management, and assist in the preparation of compliance reports.
  • Produce an annual sales compliance report, outlining key findings and areas for improvement.
  • Collaborate with internal departments to ensure the firm’s compliance objectives are met and continuously reviewed.


Who We’re Looking For


We are looking for an individual with a strong background in compliance within the financial services sector, paired with excellent people management skills. You should have a proven ability to develop talent, ensuring that both senior and junior advisers are supported in reaching their full potential.


Key Skills & Qualifications:


  • Strong understanding of FCA regulations and compliance frameworks.
  • Level 4 and CeMAP or equivalent qualified
  • Experience in training, mentoring, and developing financial advisers.
  • Excellent communication and interpersonal skills, with the ability to engage at all levels.
  • Highly organised with the ability to manage multiple priorities.
  • Strong analytical and reporting skills, with an attention to detail.
  • Computer literate, with proficiency in industry software such as back office systems and provider tools.


Why Join Us?


This is a unique opportunity to take on a challenging yet rewarding role where you can directly influence both the compliance framework of the business and the growth of our adviser team. You’ll work in a collaborative environment where your contributions will be valued, and you will have the chance to make a significant impact.


If you are ready to bring your expertise in compliance and adviser development to a forward-thinking firm, we encourage you to apply.

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