Adviser Lead

FORTURA FINANCIAL PARTNERS – OUR MISSION

Our purpose at Fortura Financial Partners is to ensure people are empowered to realise their aspirations – for our teams, clients, and the communities in which we work. Fortura Financial Partners is committed to operating in line with the principles of a responsible business.

OVERALL JOB PURPOSE

Fortura Financial Partners is focused on delivering a robust, compliant, and client-focused advice offer to clients. The Adviser Lead will oversee the client relationships, maintain oversight of the Financial Advisers – providing guidance and coaching, and work closely with the Operations management team and Risk and Compliance Lead to ensure the required operational processes are in place to deliver excellent client service.

PRINCIPAL DUTIES

Responsibilities: The Adviser Lead responsibilities will include the below key areas. The appointed Adviser Lead will be assessed on key performance indicators in line with the responsibility areas outlined.

• Business Targets & Client Acquisition
  • Deliver an annual business revenue target (set out by the Leadership Team).
  • Monitor progress against key business performance metrics.
  • Introduce new initiatives and drive existing cross-selling initiatives across the Advisory team (e.g. Mortgage and Protection products).
• Adviser Management & Development
  • Develop relationships with all Financial Advisers across the business and foster excellent internal inter-team relationships.
  • Identify, recruit and retain Financial Advisers to support the business targets.
  • Manage Advisory Team KPIs – weekly, monthly and annually.
  • Lead the onboarding of new Advisers.
  • Lead, manage and develop the performance of Financial Advisers through regular management meetings and regular performance assessments/reviews.
  • Lead the delivery of the Adviser Development Programme (ADP); this includes structured development sessions, ad-hoc training and development and may also include self-directed study, supplemented by seminars and courses as appropriate and required.
  • Implement effective individual personal development plans for Advisers.
  • Demonstrate ongoing Continuing Professional Development (CPD) and deliver on personal training plan, maintaining technical knowledge and professional qualification requirements.
• Supervisory Oversight
  • Provide effective oversight of financial advisers, ensuring they adhere to company policies, regulatory requirements, and best practices.
  • Monitor advisers' conduct, identifying and addressing any compliance risks or concerns proactively.
  • Ensure advisers maintain accurate and up-to-date client records in line with compliance expectations.
• Risk Identification & Mitigation
  • Identify, assess, and escalate risks related to financial advice, client interactions, and regulatory compliance.
  • Take a proactive approach to identifying potential misconduct, ensuring early intervention where necessary.
  • Work closely with the Risk & Compliance team to implement measures that suitably mitigate risks.
• Regulatory Adherence & Policy Enforcement
  • Ensure Advisers comply with FCA regulations, internal policies, and professional standards.
  • Reinforce adherence to financial crime prevention measures.
  • Ensure advisers adhere to only providing services they are licensed for and/or referring to approved service providers.
  • Ensure advisers remain up to date with regulatory changes and evolving compliance requirements.
  • Promote a culture of compliance, accountability, and ethical decision-making among advisers.
• Governance & Reporting
  • Provide regular reporting to the Leadership Team – present leading and lagging indicators, potential risks, adviser performance, compliance issues and client feedback.
  • Support internal audit and review processes.

PERSON SPECIFICATION

• Experience of working within financial services (Financial Advice).
• Experience of working within St James' Place preferred.
• Experience line managing and providing guidance to Advisers.
• Strong experience in sales/revenue generation.
• An ambitious and driven individual with a focus on client service.
• Demonstrable experience of building rapport and interacting with clients effectively.
• Evidence of client relationship management and identifying new opportunities within the portfolio.
• Excellent organisational skills, managing multiple senior stakeholder reporting requirements.
• Ability to proactively use initiative to problem solve and anticipate next steps.
• Adaptable to change management plans and advocate for business initiatives.
• Confidence and ability to influence colleagues adhering to our core values.
• IT technically proficient including Office 365.
• Committed to advocating and encouraging an inclusive environment.