Senior Legal Specialist (Financial Planning)

Senior Legal Specialist (Financial Planning) – Tyger Valley.

Legal Specialist within the Financial Planning and Wealth industry with an LLB, preferably CFP and minimum 10 years’ experience in the Financial Services Industry, required to participate in the enhancement of the advice process and digital financial advice tool.

Minimum requirements:

• Bachelor of Law (LLB) essential
• CFP (advantageous)
• Minimum 10 years’ relevant experience in the financial services industry required
• Ability to handle confrontational discussions
• Solutions orientation
• Excellent verbal and written communication skills
• Strong interpersonal and relationship building skills
• Presentation skills (design and present in front of audience)

Responsibilities:

• Deal with daily tactical and legal matters
• Implement regulatory change required in Distribution
• Ensure proactive technical support to advisers is running efficiently
• Continuous interaction with marketing, distribution and other divisional teams
• Undertake strategic research and provide strategic proposals, on topics as requested by and agreed with Distribution Exco as the subject matter expert (SME) on technical financial advisory matters (e.g., EB, s42, HNW product offering etc.)
• Process owner (non-digital) of Wealth Advice Process – define and document requirements based on business needs for digital advice project
• As SME, support the digital advice team with practical suggestions and logical rules to guide and monitor advice to clients
• Provide technical support to advisers, TAS colleagues, other Distribution teams (including Marketing) on proactive and reactive basis
• Technical support to advisers/colleagues/regional distribution teams on advice process system related queries/issues
• Regularly engage with the Public Policy and Regulatory Affairs (PPARA) team to understand the impact of regulatory changes identified by PPARA on Distribution and determine, assess and furnish proposals on how such impact can be managed and mitigated within the Distribution network with the support of standardised processes, standardised documents and systems
• Represent TAS on distribution/advice and technical matters both within TAS and non-TAS related committees / forums
• Define and lead the fiduciary process, chair the Fiduciary Technical committee and provide fiduciary support into the distribution activities of Distribution Wealth Review and improve Fiduciary processes, policies, local & offshore provider services and IT support systems
• Responsible for CPD accredited training
• Effective management of direct reporting staff