Client area

We are recruiting a Regional Manager to work nationally across the Ascot Lloyd business.

Reporting to:

Commercial Director


UK - with travel as required to meet expectations of the role

Hours of work:

35 hours each week, with flexibility to meet deadlines as required

SMCR Function:

Certified Role  


  • Lead the Adviser Relationship Managers (ARMs) team
  • Manage the delivery of sales revenue and targets
  • Contribute to the sales strategy with focus on Increasing productivity and profitability
  • Lead the development of sales campaigns and growth plans aligned to Company strategy
  • Provide the ARMs with support, direction, motivation, coaching, mentoring and guidance to help develop and achieve their team revenue targets
  • Ensure the smooth integration of acquisition clients and IFAs into the Company
  • Provide and communicate weekly revenue and sales data to the Commercial Director to present to senior management
  • Develop excellent communication channels to develop strong networks with teams, stakeholders and management to implement best practices, streamline processes and support overall organisational success.

Key responsibilities

  • Working with CD & ARMs devise, implement and maintain processes to benefit and improve the day to day operational sales functions
  • Manage ARMs to monitor progress on individual IFA revenue targets, overseeing any necessary training requirements and coaching to ensure targets are achieved
  • Collaborate with Compliance/ARMs to ensure all activities undertaken by the teams meet with compliance procedures and processes overseeing and monitoring IFA KPI reviews
  • Liaising with ARMs, provide meaningful MI to CD on a monthly basis for presentation to Executive Team
  • Develop training and development plans for ARMs as supported by their Training Needs Analysis (TNA) and observed meetings being in both IFA client meetings and ARM team meetings
  • Be proactive to change and demonstrate leadership capabilities
  • Through management of the ARMs, monitor team performance and any issues likely to impact delivery against plan
  • Working with the Head of Commercial Strategy (HCS), ensure clients from acquired companies are allocated effectively to relevant team
  • Regularly engage with all stakeholders across the business, including HCS to develop and implement new efficiencies and projects to drive productivity
  • Regularly engage with Business Development Manager (BDM) with a view to implementing new business channels
  • Regularly engage with Marketing to determine effective campaigns to enhance revenue and client experience
  • Regularly engage with Learning and Development to ensure effective training plans are in place to meet the demands of a high performing team.
  • Manage a team of ARMs nationally
  • Support the Commercial Director (CD), ARMs and Business Intelligence (BI) Team in the monitoring, collation and presentation of KPIs against targets
  • Working with the Commercial Director, contribute to and own the sales strategy for Wealth Teams, ensuring targets are met and exceeded
  • Implement and execute the Wealth team business plan, ensuring this is rolled out effectively by ARMs and embedded across the teams
  • Develop the sales budget to present to the Commercial Director and senior management team

Team Management

  • Set clear business objectives, manage workflows, staff resources and deadlines to ensure organisational/departmental objectives are met
  • Set goals, objectives, develop and maximise potential
  • Develop a robust succession plan and ensure the team have the competencies, training and resource to provide clients with an exceptional service
  • Take ownership and be responsible for positive employee engagement within the team
  • Communicate changes to team on a regular basis and ensure the team understand and apply the changes
  • Develop a Treating Customers Fairly (TCF) culture ensuring a consistent approach embedded into procedures, training and development plans
  • Hold regular team meetings at various locations as required, followed by clear action plans


  • Achieve organisational, operational and personal objectives, whilst demonstrating Ascot Lloyd’s values and core competencies
  • Undertake regular, appropriate and timely CPD activity to demonstrate ongoing competence in relevant industry knowledge and skills
  • Attend seminars, workshops, training courses and any other coaching Ascot Lloyd management team deem necessary

Experience & Core Skills

  • Held a National Sales Management position in a wealth company
  • Proven track record of increasing revenue, productivity and profitability
  • Proven track record of presenting and delivering results to Senior Managers and Board members
  • Work effectively in a fast-changing environment
  • Fast thinking and able to flex between strategic and tactical
  • Minimum 5 years management experience – track record of managing successful teams
  • Understanding of IO with a good knowledge of platforms and providers
  • Diploma qualified - CF30 requirement and current SPS

Key Behaviours

  • Professional, confident, enthusiastic and committed
  • Logical analytical thought process with attention to detail
  • Seeks opportunities for organisational improvement
  • Modifies approach as changes occur to ensure results are achieved
  • Focuses on client needs and sets high standards, monitors and maintains quality productivity
  • Be aware of and demonstrates an interest in the market
  • Strong leadership qualities, copes with change and inspires others
  • Leverage the strength of others to accomplish goals
  • Can make decisions in the face of uncertainty
  • Contributes to the long-term strategic plan

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

  1. You must act with integrity
  2. You must act with due care, skill and diligence
  3. You must be open and co-operative with the FCA, PRA and other regulators
  4. You must pay due regard to the interests of customers and treat them fairly
  5. You must observe proper standards of market conduct


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