Financial Planning Advisory Business Partner

Company Description

Evelyn Partners is the UK's leading integrated wealth management and professional services group, with over 186 years of experience in helping generations of people and businesses to thrive. We offer an extensive range of financial and professional services to individuals, family trusts, professional intermediaries, charities and businesses.

We provide an award-winning service for our clients by employing the best people. Join us on our mission to place the power of good advice into more hands because we believe that everyone deserves access to good advice, regardless of where they're at in their financial journey.

An exceptional track record of growth and innovation is driven by our core values of: Personal, offering advice based on a true understanding of what matters to our clients; Partnership, working with our clients in a joined-up, collaborative way; and Performance, demonstrating a breadth and depth of advice expertise to deliver first-class results.

Read more about us and available career opportunities here:

Wealth, accountancy and business advisory services / Evelyn Partners

Careers / Evelyn Partners

Why Evelyn Partners London?

Our team operates from the Evelyn Partners head office, fostering collaboration among 1,600 colleagues in a modern environment.

We prioritise audit quality through regular training sessions and social events to encourage best practice sharing and teamwork. Additionally, our office is divided into smaller pastoral care teams to foster relationships and ensure a supportive culture, emphasising wellbeing.

Job Description

Job Purpose

Reporting to the Head of FP & Marketing Advisory, provide high quality compliance advice and training to the Financial Planning leadership team to support the delivery of (a) good client outcomes, (b) a compliant and risk aware culture and (c) the strategy.

Key Responsibilities

Advice

• Assist with the maintenance of an up-to-date compliance manual, documenting all relevant policies designed to address relevant regulatory risks.
• Provide compliance expertise and advice to the Financial Planning business unit on strategic decisions, propositional developments and material new business initiatives always ensuring an appropriate focus on good client outcomes.
• Provide advice to line management and business stakeholders on how regulatory change initiatives will impact on the business model and strategy for the Financial Planning business unit.
• Provide advice on T&C requirements and the Senior Manager & Certification Regime.
• Undertake special regulatory projects as directed by the Compliance Director or Head of IM, AM & General Advisory.
• Work collaboratively with other members of Advisory, including but not limited to the Head of IM, AM & General Advisory.

Training

• Lead the production of regulatory training materials.
• Provide compliance training to line management and business stakeholders on current or proposed regulations

Breaches and Incidents

• Identify, investigate, and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.

Management Reporting

• Provide forward looking and insightful updates on material regulatory issues for inclusion in management reporting.
• Represent Compliance at governance forums including but not limited to FPOC.

General

• Assist with other general Compliance tasks as may be reasonably requested, such as representing Compliance on ad-hoc project working groups.
• Assist with the co-ordination of regulatory visits, requests for information and drafting of P11 notifications.
• Assist with the production of the FCA quarterly briefing presentation.
• Collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.
• Propose improvements to the control environment to support the consistent delivery of good client outcomes.
• Lead the review of regulatory publications and interaction with trade bodies on specific topics.
• Deputise for the Head of FP & Marketing Advisory where required.
• Act as mentor to more junior members of the department.

Qualifications

Key Skills and Experience

• Demonstrable experience in investment management
• Excellent understanding of relevant regulatory requirements in the UK, including FSMA 2000 and the FCA Handbook, LSE rules and the ISA Regulations.
• Strong oral and written communication skills
• Strong inter-personal skills, judgement and decision-making ability, and a determined and proactive approach.

Professional Qualifications and Education

• Preferably degree educated
• Relevant industry qualifications would be an advantage

Additional Information

As a colleague here at Evelyn Partners, you will have access to benefits that include:

• Competitive salary
• Private medical insurance
• Life assurance
• Pension contribution
• Hybrid working model (role dependant)
• Generous holiday package
• Option to purchase additional holiday
• Shared parental leave

We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and we're delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment.

We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.