Adviser Development Lead

1 month ago


York, York City, United Kingdom BWD Search & Selection Full time
About the Role

We are seeking a seasoned Adviser Development Manager to lead our compliance and development efforts. As a pivotal member of the team, you will ensure the integrity of our business and the professional growth of our advisers.

Key Responsibilities
  • Adviser Development and Mentorship
    • Provide ongoing coaching and development to advisers, equipping them with the knowledge and tools to excel in their roles.
    • Conduct regular one-to-one sessions with advisers, focusing on 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 adherence to best practices and high standards of client service.
  • Compliance Oversight and Management
    • Implement and maintain robust compliance procedures, ensuring adherence to FCA regulations and internal policies.
    • 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 and 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.
About You

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 and 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.


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