Job Description

Role title Client Service & Operations Manager


Reporting to: CS&O Manager


Location: Birmingham


Hours of work: 35 hours p/w


SMCR Function: Conduct

Purpose of role

As the Client Services & Operations Manager you will oversee a team of Client Operations professionals, including Paraplanners, Administrators and support staff, that delivers efficient & timely processing, regulatory compliance, and a consistent high quality client and adviser experience.


The role holder will support the Regional Head in the development and delivery of efficient and effective operations support, maintaining the high standards our clients expect, supporting our financial advisers, and driving operational excellence throughout the client journey within a designated Ascot Lloyd region.

Key Responsibilities

Team leadership and support


Lead and manage a professional client operation team(s) to deliver outstanding and timely operational support to our advisers and excellent service to our clients Work with other Managers and the Regional Heads to establish, deliver and measure agreed goals and objectives.

Operational Excellence and service delivery


Work closely with other Managers to ensure consistency, best practice and continuous improvement in terms of service delivery. Accountable for the day-to-day workflow management of the client operations team(s) for which the role assumes responsibility (location dependent). Ensure the delivery of first-class support services across a full range of financial planning products and services. Identify areas for process improvement and work with the Regional Head to effectively design and deliver solutions. Provide operational & expertise and act as a point of referral for complex queries associated with the operational functions.

People Management and Development


Develop an environment where people have the opportunity to learn, grow and develop. Mentor and coach your team, fostering a culture of growth through teamwork, collaboration, and a continuous improvement mindset. Cascade critical updates on processes, products and market developments to your team Complete regular performance reviews in accordance with Ascot Lloyd HR requirements. Work with the Regional Head and HRBP to ensure sufficient resource across operational areas to manage business levels to effectively service our clients and advisers

Strategic Projects


Actively participate in key strategic projects that drive operational efficiency and improve client / adviser experience. Work with Regional Head and peers to accommodate and effectively integrate new business following acquisitions Provide operational input into operations management team on resource alignment, meeting business objectives and developing the Ascot Lloyd proposition

Risk Management


Embrace the company's risk framework and promote a risk aware culture that aligns with the company's risk appetite Ensure that your team complete regular Regulatory & Compliance training

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

You must act with integrity

You must act with due care, skill and diligence

You must be open and co-operative with the FCA, PRA and other regulators

You must pay due regard to the interests of customers and treat them fairly

You must observe proper standards of market conduct

You must act to deliver good outcomes for clients

Experience / Skills Required

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Leadership & Team Development:

Proven experience in supervisory roles, including mentoring junior staff.

Process Improvement & Organisation:

Confident driving procedural change; proactive, well-organised, and able to prioritise effectively.

Communication & Interpersonal Skills:

Strong written and verbal communication with excellent relationship-building ability.

Delivery Focused:

Tenacious, resilient, and committed to seeing tasks through to completion.

Confidentiality & Integrity:

Trusted to manage sensitive information with discretion.

Analytical & Detail-Oriented:

Quick to gather relevant data with a strong focus on accuracy and record keeping.

Technical Expertise:

Provides advice support; proficient in research tools, templated suitability reports, and CIP frameworks.

Industry & Systems Knowledge:

In-depth understanding of financial services and Ascot Lloyd back office/platform systems. *

IT Skills:

Highly computer literate with advanced Excel proficiency.