At a Glance
- Tasks: Lead and develop a high-performing team in wealth management supervision.
- Company: Dynamic wealth management firm focused on excellence and compliance.
- Benefits: Competitive salary, leadership opportunities, and influence in shaping standards.
- Other info: Join us to shape the future of financial services and enhance client experiences.
- Why this job: Make a real impact on governance and client outcomes in a growing business.
- Qualifications: Experience in wealth management and strong leadership skills required.
The predicted salary is between 40500 - 49500 £ per year.
Are you a senior leader in wealth management, financial planning, risk or regulatory oversight looking for an opportunity to shape supervision standards across a growing national business? We're looking for an exceptional Head of Branch Supervision to lead and evolve our supervisory, competency and governance framework across both employed and independent wealth management businesses.
This is a highly visible leadership role where you'll work closely with senior stakeholders across Compliance, Risk, Operations, Business Development and Training & Competence to ensure our advisers consistently deliver excellent client outcomes while meeting the highest regulatory and professional standards.
What you'll be responsible for:
- Leading and developing a high-performing Branch Supervision team
- Driving consistency and excellence in supervisory practices across wealth management and financial planning businesses
- Owning and enhancing our supervision and competency framework
- Overseeing adviser competence, conduct, certification and regulatory standards
- Embedding Consumer Duty principles and maintaining a strong first-line risk environment
- Identifying emerging risks and delivering effective remediation programmes
- Supporting adviser onboarding, branch approvals and ongoing competency assessments
- Providing oversight of investment supervision processes and client outcomes
- Working with senior leadership to strengthen governance, risk management and continuous improvement initiatives
What we're looking for:
We're interested in speaking with experienced leaders from wealth management, financial planning, adviser networks, investment management, compliance, training & competence or supervisory oversight backgrounds who can demonstrate:
- Significant experience within wealth management, financial planning or investment management
- Deep understanding of FCA regulation, Consumer Duty, SM&CR and Training & Competence requirements
- Proven leadership of supervision, T&C, compliance, risk, QA or oversight functions
- Strong people leadership and team development capabilities
- Experience managing complex conduct matters and regulatory remediation programmes
- Confidence influencing senior stakeholders and governance forums
- Data-driven decision making and strong commercial awareness
Essential Qualifications:
- Level 6 Diploma in Financial Planning (or equivalent FCA-recognised qualification)
- Appropriate qualifications and experience to undertake supervisory and competency oversight responsibilities
- Chartered Financial Planner or Chartered Wealth Manager status
- Experience working across both employed and independent adviser models
This is a rare opportunity to influence the future direction of supervision, competence and governance across a growing wealth management business. You’ll play a key role in shaping standards, developing people, strengthening our control environment and helping ensure outstanding outcomes for advisers and clients alike.
Head of Branch Supervision employer: Raymond James UK
At Raymond James, we pride ourselves on fostering a culture that prioritises people and their financial wellbeing. As a Practice Management Business Partner, you will benefit from ongoing professional development and the opportunity to work closely with talented advisers, making a tangible impact on their success and client outcomes. Our commitment to values such as Client First and Integrity ensures a supportive environment where your coaching and strategic insights can thrive.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Branch Supervision
✨Tip Number 1: Tap Into Professional Networks
The finance world loves a good connection, so jump into industry-specific groups on platforms like LinkedIn where you can find discussions on financial controlling. Engaging in these communities can expose you to hidden job leads that aren't openly advertised!
✨Tip Number 2: Attend Finance Events and Conferences
Make it a mission to attend finance-related events and conferences, even virtual ones! This is a golden opportunity to network face-to-face with people from companies like Raymond James UK. You never know who might be your next boss or a crucial contact!
✨Tip Number 3: Showcase Your Expertise
Consider writing articles or sharing insights related to financial controlling or industry trends. Publish these on platforms like LinkedIn to establish yourself as a knowledgeable player in the field. This not only increases your visibility but also catches the attention of recruiters from Raymond James UK.
✨Tip Number 4: Apply Directly on Company Websites
Since you're going for a full-time gig, don't forget to keep an eye on the careers page of companies you're interested in, like Raymond James UK. Many companies prefer candidates who apply through their website as it shows genuine interest and makes your application stand out!
We think you need these skills to ace Head of Branch Supervision
Some tips for your application 🫡
Show Off Your Numbers Game:In financial controlling, detail is everything! Make sure your CV showcases your proficiency with numbers—highlight any relevant experience in budgeting, forecasting, or working with financial software. Quantifying your past achievements will make you stand out, so don’t be shy about flaunting those impressive percentages or cost savings you've implemented.
Tailored Cover Letter is Key:Your cover letter is a chance to shine, especially for a full-time role. Use it to express your genuine interest in Raymond James UK and the specific impact you hope to make in financial controlling. Mention any relevant qualifications or experiences that align with the company’s goals, and don’t forget to show that you're ready for a long-term commitment!
Certifications Matter:List relevant certifications such as ACCA or CIMA on your CV. These qualifications not only showcase your dedication to the field but also your technical competence in financial principles. If you have any ongoing training or courses, make sure to mention those as well to demonstrate your commitment to continual learning in financial controlling.
Don’t Overlook Soft Skills:While numbers are crucial, so are those soft skills! Financial controllers need strong communication and analytical reasoning abilities. We recommend embedding examples of these skills in your CV and cover letter, like how you’ve successfully delivered financial reports to stakeholders or collaborated with teams to improve processes. Let’s show Raymond James UK how you can be a team player!
How to prepare for a job interview at Raymond James UK
✨Brush Up on Technical Skills
Make sure you're comfortable with key financial concepts, especially around forecasting, budgeting, and variance analysis. Sometimes, interviewers may throw in technical questions or case studies, so practicing these types of scenarios will help you shine!
✨Showcase Your Financial Acumen
If you've had experience with specific financial software like SAP or Oracle, make it known! Be ready to discuss how you used these tools to improve processes or reporting, as this hands-on knowledge can really set you apart in a full-time role with Raymond James UK.
✨Know Your Numbers
In full-time interviews, especially in financial controlling, be prepared for numerical reasoning tests or questions. Brush up on your mental maths and understand how to interpret and analyse financial statements on the spot, as this may come up during the assessment.
✨Connect with Company Goals
Familiarise yourself with Raymond James UK's financial objectives and any recent developments. During the interview, try to weave your understanding of their business model and challenges into your answers—this shows your genuine interest and alignment with their goals!
