Wealth Planning Director

About Schroders 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 moved into our new HQ in the City of London in 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. What you'll do To manage, either directly or in conjunction with Paraplanner/AWP, client relationships and associated wealth planning strategies and structures; To fully understand the client's inter-family relationships, individual circumstances, risk profile, objectives, planning needs and resulting solutions; To respond to clients in a timely and professional manner; To actively market and develop profitable new client relationships both internally and externally; To meet with clients regularly and to ensure any action agreed is minuted and implemented; To have primary responsibility for new client set-up, sign off and maintenance in a timely fashion (inc KYC, ML/DD and restrictions), and ongoing suitability; Deliver suitability letters and reports for clients; and To make clients aware of new and relevant planning opportunities that will be benefit their position and meet their overall planning objectives; - To undertake regular review of the work of allocated Paraplanner/AFM where applicable to ensure that:- - Processes and procedures are adhered to - Files are compliant - Clients are treated fairly and  - Suitable revenue from Cazenove Capital Management's clients are achieved Discharge of Responsibilities The role holder shall ensure that his/her responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of Wealth Management and the Schroder Group, in a manner that is sensitive to the risk profile of the regulations and issue(s) at hand. In discharging his/her responsibilities the individual shall establish appropriate structures for all areas under their control and shall fulfil their key responsibilities in full. Reporting obligations  In discharging his/her responsibilities, the individual shall: Ensure that a member of the Wealth Management Senior Management team is made aware of any issues, in a timely manner, which in their view are material and which should be communicated to the CEO, Wealth Management and/or the Board and  Provide his/her line manager with an annual assessment of his/her own performance against agreed objectives. Committee Memberships Where applicable, the role holder must fulfil his/her responsibilities for their Committee Memberships. Prudential Regulation Authority (“PRA”) and Financial Conduct Authority (“FCA”)  The role is within an entity which is covered by the Senior Manager and Certification Regime (SMCR). As such, all staff are expected to comply with the Individual Conduct Rules for both PRA and FCA. These are: 1. Rule 1: You must act with integrity 2. Rule 2: You must act with due skill, care and diligence 3. Rule 3: You must be open and cooperative with the FCA, PRA and any other regulators 4. Rule 4: You must pay due regard to the interests of customers and treat them fairly 5. Rule 5: You must observe proper standards of market conduct 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. My Profile Create and manage profiles for future opportunities. For applicants applying for positions with Schroder Investment Management North America Inc. (SIMNA): SIMNA endeavors to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the SIMNA HR Team at SchrodersUSRecruitment@Schroders.com. This contact information is for accommodation requests only and cannot be used to inquire about the status of applications. SIMNA is an equal opportunity employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status. Please view SIMNA’s EEO POLICY STATEMENT . If you’d like more information on your EEO rights under US law, please view EEO IS THE LAW POSTER , EEO IS THE LAW POSTER SUPPLEMENT and PAY TRANSPARENCY POSTING . #J-18808-Ljbffr