Wealth Planning Director

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Job Description

Job Title: Wealth Planning Director and Team Manager, Wealth Management
Business Group: Schroder & Co. Ltd
Wealth Planning Director - Job Description

Who we're looking for

Wealth Planning Director

About Cazenove Capital

At Cazenove Capital we look after private individuals, families and charities. We are the wealth management business of the FTSE-listed global investment manager Schroders. We help our clients around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

About Schroders, our parent company

We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

We have around 6,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper.

The base

We have been in 1 LWP since 2018. We're close to our clients, in the heart of the UK's financial centre. And we have everything we need to work flexibly.

The team

We are one of the largest UK-based wealth management firm, headquartered in London but with offices around the country. We help private clients, families, charities and some institutions meet their long term goals by offering our expertise in investment, wealth planning, lending and family office services. We draw on the resources of the Schroders group, as well as having our own in house investment team.

We're open to flexible working, so we can all balance our personal and professional commitments.

Overview of 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.

Qualifications - Chartered status

• Chartered Financial Planner - Chartered Insurance Institute (CII) - Level 6 - Advanced Diploma in Financial Planning or equivalent.

Principal Responsibilities

Client Relationship Management & Advisory

• 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
This role falls under the Senior Manager and Certification Regime (SMCR). All staff must comply with the PRA and FCA Individual Conduct Rules:

1. Act with integrity
2. Act with due skill, care, and diligence
3. Be open and cooperative with regulators
4. Pay due regard to customer interests and treat them fairly
5. 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.

We recognise potential, whoever you are

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.

About Us

We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

We have around 6,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper.