Operations Manager – Wealth Planning

Based Wetherby Outskirts

Salary £45,000 – £65,000 depending upon experience + Bonus

Our client is a firm of Independent Financial Advisers, established in 2006.

They take great care to find the highest quality individuals to join their team; you will be encouraged to bring new ideas and be empowered to deliver real value to our clients.

Their Private Client and Serious Injury Teams currently looks after c.350 clients with £420m of assets under management.

The Role – Operations Manager

This is a senior position within the firm, working alongside the senior management team.

The ideal person will be able to work across multiple areas (compliance, operations, business strategy) and support the firm in meeting its long-term goals through effective operational and risk management.

They are looking for an individual who has a good understanding of a top-tier financial advice business and understands how the day to day operation of such a business needs to be structured


– consistently deliver a 5-star service to clients

– manage risk by embedding best practice and compliance into standardised processes and client workflows

– apply improvements in technology to streamline the delivery of the client proposition and the wider running of the business.

The ideal person would be able to bring ideas into the business around how to appropriately implement different processes and procedures whilst continuing to ensure their clients receive a high level of service. The individual will be the person in the business tasked with looking across all areas, considering how they fit together and implementing any agreed changes.

You should be comfortable and confident working at a senior level, with good communication skills.

You should be able to work alone, and as part of a wide team. It’s important that you can work on your own initiative and be proactive in your day-to-day role.

Your Strengths:

  • Highly numerate
  • Process and project management
  • Applying technology to improve business efficiency
  • Commercially minded – able to evaluate business risks and the commercial implications of operational decisions.
  • xcellent interpersonal skills

Your Responsibilities:

  • Managing staff training and ongoing development, HR queries and policies, resourcing levels
  • Managing the company’s compliance and regulatory obligations
  • Co-ordinating working groups, project managing the implementation of agreed actions and maintaining accountability
  • Co-ordination of company-wide ad hoc and ongoing projects
  • Managing supplier relationships
  • Managing the office environment
  • Managing the company’s IT infrastructure and software-as-a-service providers
  • Managing the company’s activities to support client acquisition, retention and the company’s core values.

Your Experience:

  • Ideally 5 years or more in a Financial Services role, preferably within a Financial Planning business.
  • Experience across a variety of roles would be welcomed, such as administration, operations, compliance and paraplanning/planning.
  • They would prefer an individual who has knowledge of compliance and FCA requirements.
  • Experience of managing others would also be preferable but not essential.

Your Qualifications


  • Level 4 Diploma in Regulated Financial Planning (or equivalent)


  • Level 6 Advanced Diploma in Financial Planning (or equivalent); or
  • Investment Management Certificate (or equivalent); or
  • Certified Financial Planner (CFP); or
  • Operational or project management qualifications (e.g. PRINCE 2)


  • Full Time role
  • £45,000 – £65,000 basic salary, depending on qualifications and experience
  • 8% employer pension contribution
  • Opportunity to participate in Discretionary Bonus pool
  • 4x basic salary death in service
  • Comprehensive Private Medical Insurance
  • 25 days holiday
  • Option for hybrid working available (min 3 days in the office)