Nick Braid Email & Phone Number

I help Financial Advisory Businesses implement succession plans that enable them to achieve the true value of their business and ensure their clients continue to have access to ongoing financial advice.

The purpose of the my role is to manage a team that has central control for the end to end process for all Appointed Representative Firm and Partner contracts. This includes implementing & reviewing processes and controls to ensure all contracts are administered in line with legal, commercial and regulatory requirements to deliver good customer outcomes. I.

Swindon, United Kingdom

The purpose of the my role is to manage a team that has central control for the end to end process for all Appointed Representative Firm and Partner contracts. This includes implementing & reviewing processes and controls to ensure all contracts are administered in line with legal, commercial and regulatory requirements to deliver good customer outcomes. I.

Swindon, United Kingdom

I led this team during a period of significant change and accelerated income growth with the objective of implementing new processes, controls, transferring work between different locations and focusing on costs. I re-shaped the team from a resource point of view, helped manage the integration of different back office systems and the acquisition of new.

Swindon, United Kingdom

I managed a department of 4 operational teams including, Recruitment & Authorisations, Suitability of Advice Checks, Financial Promotions, Management Information and Risk Management. I had a team of managers that reported to me and I was responsible for ensuring the teams delivered against service level standards and met corporate objectives in terms of.

Swindon, United Kingdom

My responsibilities included building and training a new team, documenting procedures and ensuring that Appointed Representative Firms & Financial Advisers were authorised in line with regulatory & commercial expectations. I was responsible for promoting the Intrinsic proposition to prospective new recruits and working with the Regional Directors to help.

Swindon, United Kingdom

I held a number of operational roles during this period, building up a wealth of knowledge and understanding around how Financial Services businesses work including regulation, customer focus & service, sales / team management and leadership skills.