Wealth Planning Director

Overview of the Role

The Wealth Planning Director is a leadership position responsible for delivering exceptional wealth planning advice to high‑net‑worth clients, driving business growth, and ensuring compliance with regulatory standards. This role combines strategic oversight, client relationship management, and supporting the wider business to promote the success of Wealth Management and the Schroder Group.

Principal Responsibilities

• Lead and manage client relationships, ensuring delivery of bespoke wealth planning strategies and structures.
• Develop a deep understanding of clients’ family dynamics, personal circumstances, risk profiles, objectives, and planning needs to provide tailored solutions.
• Respond promptly and professionally to client queries, maintaining the highest standards of service.
• Proactively identify and communicate new planning opportunities that align with clients’ objectives.

Business Development

• Actively market and develop profitable new client relationships, leveraging internal and external networks.
• Represent the firm at industry events and networking opportunities to enhance brand presence and attract new business.

Regulatory & Compliance

• Take primary responsibility for new client onboarding, including KYC, AML/dd checks, and suitability assessments.
• Ensure ongoing compliance with regulatory requirements and internal policies.
• Deliver suitability letters and reports in line with FCA standards.

Leadership & Support

• Provide strategic leadership to paraplanners, associate wealth planners, and wealth planners, ensuring adherence to processes and compliance standards.
• Mentor and develop team members, fostering a culture of excellence and continuous improvement.

Strategic Contribution

• Contribute to the development and implementation of the Wealth Planning strategy.
• Collaborate with senior management on initiatives to enhance client experience and operational efficiency.
• Participate in relevant committees and working groups, fulfilling responsibilities as required.

Reporting Obligations

• Escalate material issues promptly to Wealth Management Senior Management for onward communication to the CEO and/or Board.
• Provide an annual self‑assessment against agreed objectives to your line manager.

Committee Memberships

• Fulfil all responsibilities associated with committee roles, ensuring active participation and contribution.

Regulatory Responsibilities

• Act with integrity
• Act with due skill, care, and diligence
• Be open and cooperative with regulators
• Pay due regard to customer interests and treat them fairly
• Observe proper standards of market conduct

Additional Director-Level Expectations

• Drive strategic initiatives to grow the Wealth Planning business and enhance profitability.
• Act as a senior point of escalation for complex client matters and regulatory issues.
• Champion risk management and governance across all wealth planning activities.
• Represent Wealth Planning in cross‑functional projects and contribute to group‑wide objectives.
• Lead by example in promoting a culture of integrity, collaboration, and client‑centricity.

Inclusion & Diversity

Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio‑economic background, or any other protected characteristic.