Job Title

Head of Legal

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Job Description

Our client, in East Grinstead was established to address an increasing need for specialist financial services advice and products.  Their aim is to deliver sophisticated financial planning and investment management to individuals and companies in a transparent and value driven manner through partnerships with advisory firms.

This role has a high profile within the Group.  We are looking to appoint an individual that commands respect, has significant industry experience and holds the appropriate qualifications.  This individual will be responsible for guiding the firm’s advice processes working closely with our Investment & Advice Policy Committee.

Role Responsibilities and Key Objectives

Day-to-day responsibilities will include working closely with authorised representatives to manage and mitigate advice risk.  The role will require qualifications to deal with complex casefiles such as Defined Benefits.

Advice Standards

  • Support advisers to ensure they provide clients with suitable advice outcomes
  • Manage improvements to the Advice Process through the Investment and Advice Policy Committee (IAPC)

Pension Transfer Specialist Role and Higher Risk Advice Sign Off 

  • Act as gateway for all Defined / Safeguarded Benefit transfer advice conducted by advisers / partner firms
  • Sign off where advice is suitable and meets internal standard: provide detailed feedback and details of remedial actions required for advice which does not meet standards or is unsuitable

Day-to-day responsibilities will include working closely with authorised representatives to manage and mitigate advice risk.  The role will require qualifications to deal with complex casefiles such as Defined Benefits.

Pension Transfer Specialist Role and Higher Risk Advice Sign Off cont.

  • Maintenance and development of the Defined Benefit Advice Process Standards
  • Review and sign off of higher risk investment advice (VTTs / EIS / SEIS)

Compliance Support

  • Manage day to day enquiries and provide support for advisers regarding advice regulatory issues
  • Provision of support to the Head of Risk & Compliance in relation to handling of advice related complaints
  • Provide input to and support of the delivery of the Compliance Plan
  • Provide technical support and input to the Advice Quality Control function

Business Development / Onboarding  

  • Assist with the evaluation of potential new partner firms / individuals
  • Provide technical support and training of Advice Process Standards and Processes, including Defined Benefit Transfer Advice for new Partner Individuals and Firms

Management and Project Delivery

  • Oversight / Management of the Paraplanner / report writing function
  • Provision of support to business development initiatives and projects
  • Development and collation of Advice related MI Reporting for the IAPC
  • Delivery of the service to advisers within defined turnaround agreements

Skills, Knowledge and Experience

  • Advanced level of technical financial knowledge and expertise
  • A deep understanding of Defined Benefit and Safeguarded Benefits Advice
  • A strong understanding of Financial Services Regulation and FCA
  • Able to manage different projects at the same time
  • Able to recognise risk and potential compliance failures

Qualifications 

Essential

  • Diploma in Financial Planning or equivalent Level 4 qualification
  • Pension Transfer Qualification (AF3 / AF7 / G60)

Desirable

Chartered/Advanced Diploma or equivalent Level 6 qualification

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