Client Manager - Wealth Planning

Brown Shipley, Manchester, GBR, M3 3HF
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Purpose of the Job

The role holder will work in the Front Office.  It will be responsible for providing wealth planning advice to clients, working in support of a larger client bank leveraging the full value proposition of the Bank aligned with Quintet’s values.

This is a 1st line of defence role.

Key client responsibilities:

  • To be responsible for the management of a portfolio of clients
  • To be fully competent to provide holistic wealth planning advice
  • To assist in the development and implementation of an integrated wealth planning proposition which will result in the growth of fee income and assets under management for Brown Shipley
  • To work closely with senior colleagues to ensure the quality delivery of advice is provided to clients of the firm within the areas of Protection, Investment Structuring, Retirement Planning, Estate Planning and Lifetime Cash Flow forecasting
  • To meet agreed revenue and business targets as required by Brown Shipley to meet the company’s agreed business plan.
  • To ensure that the annual KYC and Suitability requirements are managed for clients in accordance with company policy and procedure.
  • To conduct your business in accordance with FCA Rules and internal compliance requirements
  • To contribute to the development of relevant business strategies through participation in meetings and relevant committees.
  • To ensure you are fully aware of the legislative and internal compliance procedures relating to the role and that you act in accordance with those procedures at all times.
  • To ensure good lines of communication are maintained between the Bank, the client, and where appropriate, the client’s professional advisors
  • To keep informed of current wealth planning practice and developments relevant to the financial services marketplace
  • To develop own professional expertise through on the job training, formal training, and where appropriate professional qualifications
  • Carry out any other duty as may reasonably be required.

Key Accountabilities

  • Assist in the acquisition of new target group clients through the effective use of own network targeting prospects and, together, cross-pitching the Quintet proposition.
  • Drive revenues and other commercial objectives through long-term and proactive relationship management with existing clients based on trust and distinctive service.
  • Provides holistic wealth planning advice to support the achievement of the client’s financial and life objectives.
  • Lives by a Risk Culture – has an excellent understanding of the business and related compliance, conduct and operational risks. Accountable for the appropriate mitigation at any point in time within the parameters defined by the Firm’s Risk Appetite Statement and related frameworks.  
  • Results focused, open for business enhancing and developing Quintet’s name and brand.
  • Creates a partnership culture within team and between teams to deliver Quintet’s overall value proposition to clients.

Knowledge and Experience

  • Relvant experience within a wealth planning role within financial services industry.
  • Likely to have background in wealth planning or other related functions.
  • Has built relationships with a portfolio of clients and prospects, and comfortable networking.
  • Familiar with defining the right advisory and investment solutions using a broad range of financial instruments, partnering with products and services teams.
  • Understands Risk within context of the role and meets the regulatory obligations, as applicable.

Attributes and Qualities

  • Is “client obsessed” to provide a best in class service.
  • Creates a partnership culture within teams and collaborates across all other Quintet network to deliver the overall client proposition.
  • Works effectively with Group Products & Solutions (GPS) and CIO teams (and other functions) to find the best solutions.
  • Supports and encourages others to generate a positive working culture, sharing information cross-functions.
  • Takes a solution oriented approach and challenges the way we do things: “see it, say it, fix it”.
  • Effective communicator (both written and verbal), and good at influencing audiences in person and presenting to clients.
  • Resilient, problem solver, effective planner with a partnership approach.

Technical Skills

  • This is a ‘Certified’ role that is subject to the FCA’s ‘individual conduct rules’ requirements and the firm’s ‘Training & Competence Framework’ guidance.
  • Act as true first line of defence for clients and Quintet through proactive risk management.
  • Proven threshold competent and operate with a full understanding of Risk within a regulatory framework
  • Minimum Level 4 CISI Diploma qualified required. Level 6 CISI Diploma qualified is desireable or working towards

Languages Skills


  • English (fluent / advanced)
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