Paraplanning Manager

Job Title
- Regional Paraplanning Manager

Location - St Albans

Working Pattern - Full-time | Standard business hours

This is a senior leadership role responsible for the strategic direction, technical quality, governance, and performance of a multi-region paraplanning function within a regulated financial planning firm.

The Regional Paraplanning Manager provides oversight across several regional paraplanning teams (“pods”), ensuring advice support is technically robust, compliant, scalable, and aligned with regulatory and business requirements
.

Working closely with senior stakeholders across Advice Operations, Compliance, Data, and regional leadership, the role ensures paraplanning capacity, risk, and quality are proactively managed as the business evolves.

Strategic Leadership & Operating Model

• Own and evolve a firm-wide paraplanning operating model aligned to growth, risk, and regulatory expectations
• Provide senior leadership and direction to regional paraplanning leaders
• Act as a senior escalation point for complex or sensitive paraplanning matters
• Lead paraplanning teams across multiple locations, both remotely and in person

Performance Management & Oversight

• Design and manage paraplanning KPIs and management information (MI), leveraging CRM and workflow systems
• Monitor capacity, productivity, turnaround times, and quality indicators across regions
• Deliver clear, insightful reporting to senior management to support decision-making

Technical & Regulatory Governance

• Provide senior-level technical oversight across paraplanning activity
• Oversee complex and high-risk advice areas, including escalation and challenge where required
• Ensure templates, processes, and technical guidance remain compliant, consistent, and up to date
• Maintain strong regulatory awareness and embed effective risk management controls
• Lead, coach, and appraise senior paraplanners and paraplanning leaders
• Oversee onboarding, training, and ongoing technical development frameworks
• Support succession planning and long‑term capability development
• Act as a mentor and technical role model within the paraplanning function
• Lead paraplanning-related change initiatives and process improvements
• Support implementation of regulatory, legislative, and operational changes
• Drive consistency, scalability, and best practice across regional teams

Risk & Escalation Management

• Manage senior escalations, quality concerns, and potential complaints
• Ensure risks are identified early, mitigated appropriately, and escalated when required

Hands‑on Technical Capability

• Maintain strong technical knowledge across all areas of financial planning
• Step into complex paraplanning cases when required for oversight, training, or capacity support

• Extensive experience in paraplanning within a regulated financial planning environment
• Significant people management experience, including leadership of senior team members or managers
• Strong stakeholder management skills, operating comfortably at senior leadership level
• Data‑driven approach to performance, capacity, and risk management

• Minimum Level 4 Diploma in Regulated Financial Planning (RO1–RO6)
• Chartered status (or working towards) preferred

This role offers the opportunity to:

• Shape and lead a national paraplanning function
• Influence operating model, quality, and governance at scale
• Operate as a true senior leader within a growing, advice‑led business