Non Executive Director

Location
: UK based, with remote or hybrid attendance depending on board requirements

Commitment
:
Light touch, expected to include quarterly board meetings and limited ad hoc input

Remuneration
: T to be agreed, proportionate to a part time non executive appointment

We are supporting an independent UK financial advisory business with the appointment of an experienced Non Executive Director.

The business provides independent financial advice across areas including investment advice, pensions and retirement planning, estate planning, protection planning and broader financial planning.

The appointment is being made to strengthen the board and senior management structure, providing additional governance oversight, regulatory comfort and constructive challenge.

This is intended to be a light touch, proportionate appointment. It is not an operational management role and it is not a mandate to reshape the business.

The right person will be credible, experienced and commercially pragmatic, with a strong understanding of UK regulated financial advice, wealth management, financial planning or investment management.

The individual is expected to sit as a Senior Manager Function, subject to regulatory approval and suitability.

The Non Executive Director will provide additional senior oversight and governance support to the business.

They will act as a senior sounding board to the Managing Director and ownership group, providing constructive challenge where required, while remaining pragmatic, proportionate and supportive of the existing management team.

• Attend quarterly board or senior management meetings
• Review business plan progress, performance and results
• Discuss key issues affecting the business
• Provide input on the general direction of the firm
• Act as a senior sounding board to the Managing Director and ownership group
• Support the business in maintaining an appropriate governance structure
• Provide independent perspective and constructive challenge where required
• Contribute to discussions around conduct, risk, regulatory expectations and operational oversight
• Support FCA governance requirements as a Senior Manager Function

The successful candidate is likely to be a senior financial services professional with meaningful experience in regulated financial advice, wealth management, financial planning, pensions, investments, protection, estate planning or a closely related area.

They may be a former financial adviser, wealth manager, IFA business owner, senior manager, managing director, compliance leader, director, founder or board adviser.

This role would suit someone who has stepped back from full time executive or client advisory work and is now looking to contribute at board level through a small number of non executive or advisory appointments.

• Strong background in UK financial services
• Experience with in an FCA regulated business
• Prior board, senior management, founder, director or senior advisory experience
• Understanding of independent financial advice, wealth management, financial planning, pensions, investments or related regulated services
• Ability to provide senior oversight and constructive challenge
• Good understanding of governance, conduct, risk and regulatory expectations
• Credibility to sit as a Senior Manager Function, subject to approval
• Strong judgement, discretion and commercial awareness

• Previous experience as a Non Executive Director, Board Adviser or Independent Director
• Previous FCA approved person or Senior Manager Function experience
• Background as a former financial adviser, wealth manager, IFA business owner, managing director, compliance officer or senior regulated financial services professional
• Experience working with smaller or growing regulated financial services businesses
• Understanding of client centric financial planning, lifetime cash flow planning and whole of market advice
• Experience across pensions, retirement planning, investment advice, estate planning or protection planning

The preference is for someone who is no longer actively advising clients, in order to minimise potential conflicts of interest.

However, candidates with other non executive, advisory or board positions may still be considered, provided any potential conflicts can be reviewed and managed appropriately.

This is not a full time executive appointment.

The requirement is for a steady, experienced senior figure who can support governance and provide useful board level perspective.