Who we’re looking for
Wealth Planning Director
About Cazenove Capital
At Cazenove Capital we look after private individuals, families and charities. We are the wealth management business of the FTSE-listed global investment manager Schroders. We help our clients around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.
About Schroders, our parent company
Schroders is a global investment manager which provides active asset management, wealth management and investment solutions. We aim to provide excellent investment performance to clients through active management. We serve a diverse client base that includes pension schemes, insurance companies, sovereign wealth funds, endowments, foundations, high net worth individuals, family offices, as well as end clients through partnerships with distributors, financial advisers, and online platforms.
Established in 1804, we have around 5,500 people across 36 global locations. Schroders' success can be attributed to its diversified business model, spanning different asset classes, client types and geographies.
The base
We have been in 1 LWP since 2018. We’re close to our clients, in the heart of the UK’s financial centre and we have everything we need to work flexibly.
The team
We are one of the largest UK-based wealth management firm, headquartered in London but with offices around the country. We help private clients, families, charities and some institutions meet their long term goals by offering our expertise in investment, wealth planning, lending and family office services. We draw on the resources of the Schroders group, as well as having our own in house investment team.
We're open to flexible working, so we can all balance our personal and professional commitments.
Overview of Role
The Wealth Planning Director is a leadership position responsible for delivering exceptional wealth planning advice to high-net-worth clients, driving business growth, and ensuring compliance with regulatory standards. This role combines strategic oversight, client relationship management, and supporting the wider business, to promote the success of Wealth Management and the Schroder Group.
Qualifications – Chartered status
Chartered Financial Planner – Chartered Insurance Institute (CII) – Level 6 – Advanced Diploma in Financial Planning or equivalent.
Minimum experience of 6+ years in advising HNW and UHNW clients on wealth planning within a regulated environment.
Principal Responsibilities
Client Relationship Management & Advisory
- Lead and manage client relationships, ensuring delivery of bespoke wealth planning strategies and structures.
- Develop a deep understanding of clients’ family dynamics, personal circumstances, risk profiles, objectives, and planning needs to provide tailored solutions.
- Respond promptly and professionally to client queries, maintaining the highest standards of service.
- Proactively identify and communicate new planning opportunities that align with clients’ objectives.
Business Development
- Actively market and develop profitable new client relationships, leveraging internal and external networks.
- Represent the firm at industry events and networking opportunities to enhance brand presence and attract new business.
Regulatory & Compliance
- Take primary responsibility for new client onboarding, including KYC, AML/dd checks, and suitability assessments.
- Ensure ongoing compliance with regulatory requirements and internal policies.
- Deliver suitability letters and reports in line with FCA standards.
Leadership & Support
- Provide strategic leadership to paraplanners, associate wealth planners, and wealth planners, ensuring adherence to processes and compliance standards.
- Mentor and develop team members, fostering a culture of excellence and continuous improvement.
Strategic Contribution
- Contribute to the development and implementation of the Wealth Planning strategy.
- Collaborate with senior management on initiatives to enhance client experience and operational efficiency.
- Participate in relevant committees and working groups, fulfilling responsibilities as required.
Reporting Obligations
- Escalate material issues promptly to Wealth Management Senior Management for onward communication to the CEO and/or Board.
- Provide an annual self-assessment against agreed objectives to your line manager.
Committee Memberships
- Fulfil all responsibilities associated with committee roles, ensuring active participation and contribution.
Regulatory Responsibilities
This role falls under the Senior Manager and Certification Regime (SMCR). All staff must comply with the PRA and FCA Individual Conduct Rules:
- Act with integrity
- Act with due skill, care, and diligence
- Be open and cooperative with regulators
- Pay due regard to customer interests and treat them fairly
- Observe proper standards of market conduct
Additional Director-Level Expectations
- Drive strategic initiatives to grow the Wealth Planning business and enhance profitability.
- Act as a senior point of escalation for complex client matters and regulatory issues.
- Champion risk management and governance across all wealth planning activities.
- Represent Wealth Planning in cross-functional projects and contribute to group-wide objectives.
- Lead by example in promoting a culture of integrity, collaboration, and client-centricity.
We recognise potential, whoever you are
Our purpose is to deliver excellent investment performance to clients through active management. We believe diverse perspectives and an inclusive culture help us make better decisions and achieve better outcomes for our clients. That's why inclusion is a strategic priority for us, and we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.
We will consider flexible working arrangements for all roles and provide reasonable accommodations to support applicants and employees, including those with neurodiversity, disability, or physical and mental health needs. For more information, please visit our FAQs.
About Us
Skills Required
- Chartered Financial Planner (CII Level 6 Advanced Diploma in Financial Planning or equivalent)
- Minimum 6+ years advising HNW and UHNW clients on wealth planning within a regulated environment
- Experience with client onboarding, KYC, AML/dd checks and suitability assessments
- Knowledge of FCA/PRA conduct rules and SMCR responsibilities
Schroders Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Schroders and has not been reviewed or approved by Schroders.
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Retirement Support — Retirement plans are described as mature and competitive, with strong employer-supported schemes in the UK and a well-regarded 401(k) offering in the U.S. Pensions and retirement savings stand out as a distinctive strength within the total rewards package.
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Leave & Time Off Breadth — Time off and flexibility are emphasized, with generous annual leave in some markets and volunteer days highlighted in the UK. Flexible/hybrid working is presented as standard, supporting practical use of time-off benefits.
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Parental & Family Support — Parental leave is highlighted as a strength, including enhanced policies in the UK and an increased paid leave period in the U.S. Family-supportive provisions are positioned as part of a broader wellbeing focus.
Schroders Insights
What We Do
As a global investment manager, we help institutions, intermediaries and individuals across the planet meet their goals, fulfil their ambitions, and prepare for the future. But as the world changes, so do our clients’ needs. That’s why we have a long history of adapting to suit the times and keeping our focus on what matters most to our clients. Doing this takes experience and expertise. We bring together people and data to spot the trends that will shape the future. This provides a unique perspective which allows us to always invest with conviction. We are responsible for £773.7 billion (€912.6 billion/$978.1 billion)* of assets for our clients who trust us to deliver sustainable returns. We remain determined to build future prosperity for them, and for all of society. Today, we have 6,000+ people across six continents who focus on doing just this. We are a global business that’s managed locally. This allows us to always keep our clients’ needs at the heart of everything we do. For over two centuries and more than seven generations we’ve grown and developed our expertise in tandem with our clients’ needs and interests. Source: Schroders, all data as at 30 June 2024. Disclaimer: Investing in securities is subject to risk. The value of investments can go down as well as up and is not guaranteed. Schroders will not make direct contact with you, via any social media platform or direct messaging service, to sell our products. If you think you have been a victim of a scam or have received unsolicited contact using the Schroders name or any associated names, and have any concerns, then please contact our Financial Crime Team using the details below: Telephone: +44(0)20 7658 4004 Email: [email protected] Schroder Investment Management Limited (Head Office): 1 London Wall Place, London EC2Y 5AU Tel: +44 (0)20 7658 6000 Schroder Fund Advisors LLC, Member FINRA, SIPC (US): 875 Third Avenue, New York, NY, 10022 Tel: +1 (800) 730-2932
