Financial Planning Supervisor

London, England, United Kingdom

11/27/2024

Job Reference #
305818BR

Job Type
Full Time

Your role
Are you experienced in Financial Planning Supervision? Do you have an attention to detail and a passion for improvement? Can you keep on top of the ever-changing regulatory landscape?

We are looking for a Financial Planning Supervisor to:

• supervise the team of regulated Chartered Financial Planners, including ongoing assessment of competency ensuring adherence to regulatory requirements.
• conduct file checks, observations and one-to-one feedback meetings with regulated individuals outlining your findings.
• train new hires and guiding individuals through the route to competency.
• design processes to ensure advice provided is conducted in a compliant manner.
• identify and circulate best practice ideas between the financial planning team.
• identify any potential risk areas for the business and liaising with other stakeholders within the business as necessary.
• input into team meetings, including sharing of best practice and providing updates where regulatory changes will have an impact on our business.
• lead some members of the financial planning support team (e.g. paraplanners and administrators). The role will not include line management of the Chartered Financial Planners which will be kept separate from the Supervisor role.
  
  

Your team
As a Financial Planning Supervisor at UBS you will work within the Wealth Management division with a small team of highly qualified Paraplanners and Chartered Financial Planners offering bespoke financial solutions to wealthy private clients around the world – except those served by Wealth Management Americas.

Our clients benefit from the entire spectrum of UBS resources, ranging from investment management to estate planning and corporate finance advice, utilizing specific internal and external products and services.

Diversity helps us grow, together. That’s why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise

• qualifications necessary to hold the FCA Controlled Function ‘Manager of certification employee’. Previous experience of holding such a role highly desirable.
• expertise and experience necessary to supervise all areas of Financial Planning advice. The advice given includes pension advice, life insurance advice, offshore bond advice including the use of trusts, general inheritance tax advice including business relief solutions and cash flow planning. The majority of the work is pension related and so detailed knowledge and experience in this area is essential.
• superb technical knowledge coupled with excellent communication and organisation skills
• ability to work under pressure and meet deadlines.
• experience of line management within a supervisory environment beneficial but not essential.
• previous experience in a client-facing role also beneficial but not essential.
  
  

About Us
UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

How We Hire

We may request you to complete one or more assessments during the application process. Learn more

Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.