Client area

We are recruiting an Adviser Relationship Manager to join us in Scotland.

Reports to:

Commercial Director


Regional Based – With travel as required to meet the role requirements

Hours of work:

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

SMCR Function:

This is a Certified Role

Purpose of role

  • Lead a team of Advisers across a region.  Be responsible for and take ownership of the revenue target for the team.
  • Provide Advisers with the support, direction, motivation coaching, mentoring and guidance to achieve revenue target.
  • Responsible for providing Commercial Director (CD) with revenue and sales data when requested

Key Responsibilities

  • Periodically attend client meetings alongside an authorised Adviser, to observe Adviser technique from a sales and opportunities perspective and to aid Adviser development.  On occasion, the ARM may assist the adviser and provide verbal advice to the client, which is deemed a regulated activity.  To facilitate this the ARM will be authorised as an adviser in a limited capacity, the details of which are reflected in the T&C scheme
  • Plan and develop presentations and deliver at client seminars
  • Co-ordinate with Head of Advice, review client proposition and roll out appropriate training
  • Develop training and development plans in partnership with Learning & Development Manager
  • Be proactive to change and demonstrate leadership capabilities during the change cycle
  • Contribute to and own the sales strategy for division, meet and exceed targets
  • Develop the sales budget for the Advisers, present to CD
  • Understand the advice proposition and process
  • Monitor progress on individual revenue target, provide or arrange for any necessary training and coaching to ensure targets are achieved
  • Collaborate with the compliance department to ensure that all activities undertaken by the Advisers meet with compliance procedures and processes.
  • Provide meaningful MI and a written report to CD on a monthly basis for presentation to Executive Team
  • Review the client bank on a regular basis and ensure it is managed effectively, ensuring TCF
  • Encourage and assist Advisers in growing target client numbers, by understanding each Advisers motivators and training needs
  • Build a highly effective team of Advisers, maintain retention by building lasting, trusting relationships with the Advisers
  • Expand network of Advisers to build a bank of talented Advisers to assist with recruitment
  • Hold regular team meetings which are organised with follow-up action plans
  • Engage on a regular basis with Advisers and understand the Advisers client bank

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


  • 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


  • Take action quickly under pressure, can cope with change, inspire others to follow in the pursuit of the values and goals of Ascot Lloyd
  • Work under own direction, initiate and generate activity
  • Demonstrate cultural awareness and relate well with a diverse range of people
  • Presents with confidence, engages with audience, responds quickly to the needs of the audience, their reactions and feedback, projects credibility

Skills & Experience

  • Multi-site management experience
  • Used to working 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 AO/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 clients 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

Experience / Skills Required

  • Excellent communication, interpersonal and listening skills
  • Knowledge of Ascot Lloyd specific products and services
  • Generic financial services product knowledge
  • Used to working in a fast changing environment
  • Fast thinking and able to flex between strategic and tactical
  • Minimum 5 years management experience
  • Understanding of AO/IO with a good knowledge of platforms and providers
  • Diploma qualified - CF30 requirement and current SPS
  • Broad awareness of regulation with the financial services industry
  • Effective self-management, proactive
  • Ability to prioritise workload to meet agreed deadlines
  • Excellent presentation and communication skills, both written and oral
  • Displays high standards of accuracy and attention to detail
  • Strong organisational and planning skills
  • Willing to travel as required

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