Role title: Regional Client Operations Manager
Reports to: Chief Operating Officer
Location: Regional
Hours of work: 35 hours per week
SMCR Function: This is a Conduct role
Join Ascot Lloyd: Shaping the Future of Wealth Management
Ascot Lloyd is one of the UK’s leading independent wealth management firms, proudly serving over 22,000 clients with a commitment to excellence. Backed by a prestigious private equity firm, we are at the forefront of transforming the wealth management landscape. Our strategy is built on three core tenets: delivering expert financial advice, providing exceptional client service, and harnessing innovative technology to make wealth management easier and more accessible.
Purpose of role
As the Regional Client Operations Manager, you will spearhead the development and leadership of a dynamic team of Client Operations professionals, including Paraplanners and Administrators. Together, you’ll support IFAs and clients within a designated Ascot Lloyd region.
Working closely with the Chief Operating Officer, fellow Regional Client Operations Managers, and leaders across the business, you will drive operational excellence, enabling an outstanding client experience and empowering IFAs to deliver expert financial advice.
Key Responsibilities

Team Leadership and Support

• Manage and inspire a high-performing team of Paraplanners and Administrators.
• Partner with the Regional IFA Lead to ensure unparalleled client service and advisory quality.
• Provide technical expertise, serving as the go-to resource for complex queries.
• Champion excellence in report writing and query resolution across the full spectrum of financial planning products and services

Operational Excellence

• Collaborate with the Transformation Team to design, develop, and implement processes that enhance client satisfaction and operational efficiency.
• Deliver actionable insights through value-adding MI to highlight key business trends and opportunities for improvement.
• Partner with Product Management to refine existing offerings and contribute to innovative product development.
• Ensure strict adherence to FCA regulations and internal compliance standards in collaboration with Compliance and APAD teams.

Strategic Projects

• Lead initiatives that align with the organisation’s broader strategic goals.

People Management and Development

• Actively cascade critical updates on processes, products, and market developments to your team.
• Mentor and coach direct reports, fostering a culture of growth and continuous improvement.
• Support high-potential employees across departments through coaching and development programmes.

Risk Management

• Foster a proactive risk-aware culture, ensuring all actions align with the company’s risk strategy while empowering the business to make informed decisions

SM&CR Responsibilities
As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.

Individual Conduct Rules

• You must act with integrity
• You must act with due care, skill and diligence
• You must be open and co-operative with the FCA, PRA and other regulators
• You must pay due regard to the interests of customers and treat them fairly
• You must observe proper standards of market conduct
• You must act to deliver good outcomes for clients

Please refer the Job description for details