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For Companies At a Glance
- Tasks: Lead a dynamic team to enhance client operations and deliver exceptional service.
- Company: Join Ascot Lloyd, a top independent wealth management firm transforming the industry.
- Benefits: Enjoy a supportive work culture, professional development opportunities, and a competitive salary.
- Why this job: Be part of a forward-thinking team that values innovation and client satisfaction.
- Qualifications: Experience in team leadership and financial services is preferred but not essential.
- Other info: This role offers a chance to shape the future of wealth management in Wales and West.
The predicted salary is between 36000 - 60000 £ per year.
JOB DESCRIPTION
Role title: Regional Client Operations Manager
Reports to: Chief Operating Officer
Location: Regional
Hours of work: 35 hours per week
SMCR Function: This is a Conduct role
Join Ascot Lloyd: Shaping the Future of Wealth Management
Ascot Lloyd is one of the UK’s leading independent wealth management firms, proudly serving over 22,000 clients with a commitment to excellence. Backed by a prestigious private equity firm, we are at the forefront of transforming the wealth management landscape. Our strategy is built on three core tenets: delivering expert financial advice, providing exceptional client service, and harnessing innovative technology to make wealth management easier and more accessible.
Purpose of role
As the Regional Client Operations Manager, you will spearhead the development and leadership of a dynamic team of Client Operations professionals, including Paraplanners and Administrators. Together, you’ll support IFAs and clients within a designated Ascot Lloyd region.
Working closely with the Chief Operating Officer, fellow Regional Client Operations Managers, and leaders across the business, you will drive operational excellence, enabling an outstanding client experience and empowering IFAs to deliver expert financial advice.
Key Responsibilities
Team Leadership and Support
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Manage and inspire a high-performing team of Paraplanners and Administrators.
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Partner with the Regional IFA Lead to ensure unparalleled client service and advisory quality.
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Provide technical expertise, serving as the go-to resource for complex queries.
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Champion excellence in report writing and query resolution across the full spectrum of financial planning products and services
Operational Excellence
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Collaborate with the Transformation Team to design, develop, and implement processes that enhance client satisfaction and operational efficiency.
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Deliver actionable insights through value-adding MI to highlight key business trends and opportunities for improvement.
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Partner with Product Management to refine existing offerings and contribute to innovative product development.
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Ensure strict adherence to FCA regulations and internal compliance standards in collaboration with Compliance and APAD teams.
Strategic Projects
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Lead initiatives that align with the organisation’s broader strategic goals.
People Management and Development
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Actively cascade critical updates on processes, products, and market developments to your team.
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Mentor and coach direct reports, fostering a culture of growth and continuous improvement.
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Support high-potential employees across departments through coaching and development programmes.
Risk Management
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Foster a proactive risk-aware culture, ensuring all actions align with the company’s risk strategy while empowering the business to make informed decisions
SM&CR Responsibilities
As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.
Individual Conduct Rules
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You must act with integrity
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You must act with due care, skill and diligence
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You must be open and co-operative with the FCA, PRA and other regulators
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You must pay due regard to the interests of customers and treat them fairly
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You must observe proper standards of market conduct
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You must act to deliver good outcomes for clients
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Regional Lead - Wales and West employer: Ascot Lloyd group
Contact Detail:
Ascot Lloyd group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regional Lead - Wales and West
✨Tip Number 1
Familiarise yourself with the wealth management landscape in Wales and West. Understanding local market trends and client needs will help you demonstrate your expertise during interviews.
✨Tip Number 2
Network with professionals in the wealth management sector, especially those who have experience in client operations. Building connections can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss your leadership style and how you've successfully managed teams in the past. Highlight specific examples of how you've inspired and developed team members to achieve operational excellence.
✨Tip Number 4
Stay updated on FCA regulations and compliance standards relevant to the role. Being knowledgeable about these areas will show your commitment to maintaining high standards in client operations.
We think you need these skills to ace Regional Lead - Wales and West
Some tips for your application 🫡
Understand the Role: Take time to thoroughly read the job description for the Regional Client Operations Manager position. Understand the key responsibilities and required skills, so you can tailor your application to highlight relevant experiences.
Tailor Your CV: Customise your CV to reflect the specific qualifications and experiences that align with the role. Emphasise your leadership experience, operational excellence, and any relevant financial services background.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for wealth management and your understanding of Ascot Lloyd's mission. Highlight how your skills and experiences make you the ideal candidate for leading a team and driving operational excellence.
Proofread and Edit: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail and professionalism, which are crucial in the financial services industry.
How to prepare for a job interview at Ascot Lloyd group
✨Understand the Company Culture
Before your interview, take some time to research Ascot Lloyd's values and culture. Understanding their commitment to client service and operational excellence will help you align your answers with what they are looking for in a Regional Client Operations Manager.
✨Showcase Your Leadership Skills
As this role involves managing a team of Paraplanners and Administrators, be prepared to discuss your leadership style. Share specific examples of how you've inspired and developed teams in the past, focusing on outcomes and improvements.
✨Demonstrate Technical Expertise
Since the role requires providing technical expertise for complex queries, brush up on your knowledge of financial planning products and services. Be ready to discuss how you've handled similar situations in previous roles.
✨Prepare for Compliance Questions
Given the importance of FCA regulations in this role, expect questions related to compliance and risk management. Prepare to discuss how you've ensured adherence to regulations in your past positions and how you would foster a risk-aware culture within the team.
