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 am also responsible for the oversight of the Adviser Onboarding Team to ensure that all new Appointed Representative Firms and Financial… Show more 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 am also responsible for the oversight of the Adviser Onboarding Team to ensure that all new Appointed Representative Firms and Financial Advisers are appointed in line with regulatory & commercial "fit and proper" standards. Show less

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 am also responsible for the oversight of the Adviser Onboarding Team to ensure that all new Appointed Representative Firms and Financial… Show more 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 am also responsible for the oversight of the Adviser Onboarding Team to ensure that all new Appointed Representative Firms and Financial Advisers are appointed in line with regulatory & commercial "fit and proper" standards. Show less

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 businesses. The role included working with 3rd Parties to ensure payment systems were fit for purpose.

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 through put and quality expectations. I worked closely with the Compliance Director to ensure the teams processes and procedures adhered to the… Show more 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 through put and quality expectations. I worked closely with the Compliance Director to ensure the teams processes and procedures adhered to the required standards. I was responsible for implementing improvements to the quality of procedures, service standards, record keeping and performance management. Show less

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 them recruit and induct new financial advisers into the company. I worked closely with the FCA to ensure appropriate controls and processes… Show more 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 them recruit and induct new financial advisers into the company. I worked closely with the FCA to ensure appropriate controls and processes were in place and my team had a reputation for delivering excellent results to very high standards. Show less

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.