Head of Branch Supervision

About the Role

This is a pivotal leadership role responsible for overseeing the effectiveness of our supervisory and competency framework across both employed and independent wealth management branches. You will lead a team focused on maintaining the highest standards of supervision, conduct, risk management, and client outcomes while supporting the continued growth and success of the business.

Working closely with senior leaders across Compliance, Risk, Operations, Business Development and central Training & Competence (T&C) functions, you will play a key role in ensuring our advisers and investment managers operate within regulatory requirements, demonstrate ongoing competence, and deliver exceptional outcomes for clients.

This role offers the opportunity to influence strategy, strengthen governance, and foster a culture of professionalism, accountability and continuous improvement across the division.

What You'll Be Doing

Leadership & Team Development

• Lead, motivate and develop the Branch Supervision team, creating a high-performing and collaborative culture.
• Ensure the team is appropriately structured, resourced and equipped to meet business and regulatory requirements.
• Drive consistency in supervisory practices across employed and independent business models.
• Promote a culture of accountability, risk awareness and client-focused decision-making.
• Coach and support team members to achieve their full potential.

Supervision & Regulatory Oversight

• Own and continuously enhance the divisional supervision framework.
• Oversee effective supervision of Financial Planners, Investment Managers and dual-qualified advisers.
• Ensure supervisory activities, quality assurance reviews and competency assessments are delivered to a high standard.
• Identify where enhanced supervision arrangements are required and oversee implementation.
• Manage supervisory concerns through to resolution, including remediation programmes and conduct matters.
• Support the approval and onboarding of new advisers and branches.

Training & Competence

• Oversee the implementation and ongoing development of the WMS Training & Competence Scheme.
• Ensure robust competency assessment, monitoring and record-keeping processes are maintained.
• Monitor qualifications, certification requirements and Continuing Professional Development (CPD) activity.
• Identify learning and development needs and address competency gaps across the division.
• Support the development of future advisers through qualification, certification and sign-off processes.

Risk, Conduct & Consumer Duty

• Support the Managing Director of WMS in maintaining a strong first-line risk and control environment.
• Embed Consumer Duty principles throughout supervisory activities.
• Monitor conduct standards, client outcomes and behavioural indicators.
• Identify emerging risks and trends, driving appropriate preventative and corrective actions.
• Ensure lessons learned from complaints, audits and regulatory developments are effectively implemented.

Investment Oversight

• Ensure branch-level investment processes are effectively supervised and aligned to documented investment philosophies.
• Monitor investment performance outcomes and oversee the management of performance outliers.
• Work closely with investment managers to ensure appropriate actions are taken where required.

Governance & Continuous Improvement

• Represent WMS at governance committees and senior leadership forums.
• Produce and present management information, risk reporting and thematic analysis.
• Use data and insight to identify trends, risks and opportunities for improvement.
• Drive continuous improvement initiatives that enhance supervisory effectiveness and adviser outcomes.
• Act as a key stakeholder for Compliance, Risk, Internal Audit and Business Development teams.

What We're Looking For

Essential Experience

• Significant experience within Wealth Management, Financial Planning or Investment Management.
• Strong understanding of the FCA regulatory environment, including: 
  • Consumer Duty
  • Senior Managers & Certification Regime (SM&CR)
  • Conduct Risk
  • Training & Competence requirements
  • Relevant FCA Handbook provisions
• Experience leading supervision, training & competence, compliance, risk or quality assurance functions.
• Proven people leadership and team management experience.
• Experience managing regulatory remediation programmes and complex conduct issues.
• Strong stakeholder management and influencing skills.
• Experience presenting to governance committees and senior leadership forums.
• A data-driven approach to risk management and decision-making.

Desirable Experience

• Experience working across both employed and independent adviser models.
• Investment Management experience.
• Experience leading geographically dispersed teams.
• Knowledge of adviser technology platforms and supervisory tools.

Qualifications

Essential

• Level 6 Diploma in Financial Planning (or equivalent FCA-recognised qualification).
• Appropriate qualifications to undertake a supervisory and competency oversight role.

Desirable

• Chartered Financial Planner or Chartered Wealth Manager status.
• Leadership or management qualifications.

Key Skills & Competencies

• Strategic leadership
• Regulatory and technical expertise
• Risk-based decision making
• Coaching and people development
• Stakeholder management and influencing
• Commercial awareness
• Analytical thinking
• Problem solving
• Resilience and adaptability
• Excellent written and verbal communication skills

Senior Managers & Certification Regime

This role is classified as a Certification Function under the Senior Managers & Certification Regime (SMCR) and is subject to annual certification. The successful candidate may also supervise Certified Persons and will be responsible for competence assessment, ongoing development, performance management and regulatory certification activities within their reporting structure.

Why Join Us?

This is an exciting opportunity to shape the future of supervision and competence across a growing wealth management business. You'll have the chance to work alongside senior leaders, influence business strategy, strengthen our control environment and help ensure outstanding outcomes for both advisers and clients.

If you're passionate about leadership, regulatory excellence and developing high-performing teams, we'd love to hear from you.