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Description of the Business Line or Department Kleinwort Hambros (KH) Wealth Planning offers a comprehensive wealth planning service that complements our investment management expertise, allowing us to provide an integrated and coordinated approach to managing a client's wealth, whilst maximising new business opportunities available. Our Wealth Planning advice is tailored to our clients whether they are UK or International covering areas such as: retirement planning, investment structuring, and financial protection, succession planning along with trust and judiciary services and cross border planning. The key objective of the team is to maximise the revenue and asset gathering through providing a comprehensive wealth planning offering to KH client's. Summary of the key purposes of the role Overall responsibility of delivering a comprehensive wealth planning strategy to private clients in conjunction with Client Relationship Managers.To source and develop new wealth planning strategies and products in conjunction with the Senior Wealth Planners.To manage and develop the Wealth Planning Team and ensure compliant delivery of wealth planning advice. Summary of responsibilities Strategic oversight and deliveryofacomprehensive WealthPlanning servicetotheclientsof Kleinwort HambrosBankLimitedLeading by example, support the Private Bankers in Client meetings, presenting the Wealth Planning service to clients accordingly and assist with new asset gathering Review and develop the KH legacy book of existing Wealth Planning business, identifying any areas for new business opportunities Leadership anddevelopment of the KHwealthplanning team. Undertaking appropriate T&C supervision to meet regulatory and internal supervision standards, and following up on any identified development actionsDevelopmentof team and personal annualbusinessobjectives and targets,inconjunctionwiththeCommercial Director Achievement oftheannual Wealth Planningrevenue and asset gatheringtargets and management of annual budget Developmentanddeliveryofpresentationalclientproposaldocuments in conjunction with Commercial Marketing MarketingofWealth Planning servicestoPrivate Bankerstoensurethat WealthplanningisestablishedasacorewealthmanagementofferingwithinKleinwortHambrosBankLimitedTodevelop in-houseWealthPlanningtrainingforprivate bankersasandwhenappropriate. Business developmentDetail of level of responsibility for: - implementation of the strategy delegated from the SMF for the specific sub business - development of Wealth Planning (revenue growth, client base development) Building relationships with internal stakeholders Building the value add of Wealth Planning and promoting to CRM's - projects (where relevant) - implementation of regulatory changes
Budget and reportingDetail of level of responsibility for: - development of a plan and management of the annual budget - involvement in the monitoring of associated elements to the budget - T&E/Cost management - review of reporting provided from finance department covering key operating parameters.
Operational Risk & Regulatory Responsibilities Responsibility for managing, controlling, preparing and escalating risk within defined scope.Monitoring of operational risks and review of effectiveness of prevention measures. Ensure compliance with policies, procedures within the business line.Ensure timely intervention when breaches occur and analysis of root causes to avoid repeated issues. Ensure that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business.Improving Conduct Risk framework and ensuring that actions deriving from conduct risk management information are taken forward Organisation and governance Global governance (Management Committee, etc)Detail of participation into the sub line governance including committees and roles. Link with Global organisation/governanceSystems and controlsResponsibility for means and resources required to perform your roleDetails of responsibilities for follow up of Audit, Inspection points. Resource Management Handling of sensitive issues Responsible for liaising with HR in relation to compensation, promotions and staff consultation during right-sizing of the organisationEnsuring all teams are appropriately managed and adequately supervised and controlled.Contribution to proposals on the distribution of the bonus and salary pool.Managing business line staff (recruitment, development, ensuring completion of mandatory training, career management, compensation) in coordination with regional partners.Development of staff (i.e. having a growth plan, filling in products gaps, upgrading as necessary)Ensuring job descriptions exist, individual appraisals are carried out and objectives are in placeEnsuring appropriate resources are adequately utilisedComprehensive T&C monitoring and development Cooperation with other departments Details of relations with support & control functions, through which forums for what purpose. Embody Code of Conduct and behavioural competency Delegated responsibilities Supervision Leadership and development of the Wealth Planning Department. Conduct this through the appropriate Training and Competency Scheme where appropriate Level of autonomy and authority Decisions in defined regulatory scope
Level of autonomy and authority Decisions in defined regulatory scope Competencies Management competencies as defined in KH Leadership Model Strategic and Commercial AwarenessRelationship management – both internal and external clients Leadership and Management SkillsBusiness Development acumen Sales ManagementPlanning and OrganisingStrong Decision Making InfluencingStrong practical working knowledge of legal regulatory and industry requirementsKnowledge of relevant business processes standards and proceduresCommunication (Internal and External)Team BuildingKnowledge of Wealth Planning Products and Services Work experience Previous Team leadership experience at a senior management levelStrong experience in a financial advice, client facing role with the ability to generate new business opportunities Reviewing team structure and effectiveness, processes and procedures Strong track record in team management and development Stakeholder management at multiple levels Education CII Regulated Diploma as minimum – to include pension modules
Internal Number: 6090066
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