Team Leader - Partner Structures and Leavers (Level 5PM)

Team Leader - Partner Structures and Leavers (Level 5PM)

Department Description:

Regulatory Authorisations is responsible for the vetting and authorisation process for all individuals joining the St. James's Place Partnership. Our involvement commences when individuals have been identified as possible new recruits and continue through to them being appointed to the Partnership. The department also provides associated support services to members of the Partnership, mainly in relation to authorised activities.

Full time
Regulatory Authorisations
Closing Date

Main Purpose of the Job:

Partner Restructures – Line management responsibility for 2 individuals

Undertaking the processing of change of trading entities and restructuring applications for St. James’s Place Partners.  This is where a Partner changes how their business trades between one of the following trading entity types: sole trader, limited company, partnership and LLP.  Alternatively, it is where a Partner restructures their firm by adding or removing principals or shareholders of the business.

Transfers & Leavers – Line management responsibility for 1 individual

Leavers, Transfers and Regulated References:

  • Undertaking the processing of leavers from the Partnership and transfers within the Partnership (Partner to Adviser, Adviser to Partner or Adviser to Adviser), for both the UK and Overseas Locations.
  • Collating information for the production of UK regulated references.

Management of these functions will entail:

  • Oversight of the pipeline of these functions to ensure that work is processed in a timely and accurate manner by the Regulatory Services Executives
  • On complex and high profile cases: at times, be the lead person for the Department; otherwise, keep close oversight of the cases.  Such cases will involve liaison with other individuals around the business including: the Legal Department; the Location Risk Managers; the BSP Department; other Head Office departments and individuals within the Field Management Team
  • Oversight of the team’s work, with particular focus on the quality of the performance of tasks by individuals and the communication to team members of changes to processes.  This will include undertaking a significant amount of checking of the team’s work
  • Act as the primary back-up for the Leavers and Transfers function whilst the executive responsible for this function is on holiday
  • Get involved in the day to day work of the team if there are high work volumes and there is a need for additional team support
  • Management of the personal development of team members by way of regular one-to-one meetings and formal annual Performance Development Reviews
  • Review of the pipeline of Leavers, Transfers and Partner Restructuring cases with particular focus on its effect on Half-Year-End and Year-End Establishment figures
  • Creation of Management Information reports used by the department and the wider business, as and when required
  • Working with the Head of Regulatory Authorisations on various ad hoc projects

Knowledge and Skills Required:

  • Methodical and highly organised approach
  • Level-headed and ability to prioritise effectively
  • Ability to work under pressure
  • An excellent eye for detail and accuracy
  • Excellent communication skills, both written and verbal
  • Proficient with MS Office
  • Financial services experience, preferable
  • Line management experience, required

How we Reward You

In addition to an attractive salary and eligibility to participate in the discretionary annual bonus opportunities, you will also receive an excellent benefit package including a non-contributory pension, private medical insurance for you and your family, life assurance, equity participation opportunities, and an attractive holiday allowance, to name but a few.

The Charitable Foundation

We are extremely proud of The St. James’s Place Charitable Foundation. It is a grant-making charity where funds are raised and donated by the St. James’s Place community.  The Company matches all funds raised or donated, pound for pound and since its setup in 1992 we have raised and distributed almost £60 million to good causes operating in the UK and abroad.


We are proud of the recognition we receive for the high quality advice and service we provide to our clients. Most recently, this has included being voted the: '2017 Best Private Client Investment Manager' by readers of Wealth Adviser magazine; '2017 Best Wealth Manager' by readers of Shares Magazine; '2017/18 Personal Finance Awards - Best Financial Adviser’ by readers of Money Pages and voted the City of London '2017 Wealth Management Company of the Year'.

How to Apply

To apply for this role please click on the Apply button below.