Operations Officer

To support the effective management of the operational function. Delivering exceptional experience for Advisers at all points in their relationship with us, drive efficiencies to ensure streamlined and effective processes are in place. This role includes a strong focus on supporting our Go For Growth strategy supporting the Onboarding of new members and conduction due diligence, FCA applications and coordinating their training and induction to the network.

Responsibilities

• Manage onboarding pipeline: Take full ownership of a pipeline of firm and adviser applications, ensuring cases progress efficiently from initial enquiry through to regulatory approval.

• Deliver an excellent onboarding experience: Provide a high-quality, responsive, and professional service to new joiners, existing members, and leavers, ensuring clear communication and a smooth end-to-end journey.
• Conduct fact find and due diligence: Complete thorough fact-finding and due diligence on all applicants, assessing suitability, identifying risks, and ensuring alignment with business standards and regulatory requirements.
  
• Regulatory and third-party coordination: Support applications through the regulatory approval process (e.g. FCA), including preparing submissions, liaising with stakeholders, and updating third-party providers where required.

• Stakeholder collaboration: Work closely with teams across Compliance, Risk, Proposition, and Operations to progress applications, resolve queries, and ensure timely decision-making.
• Maintain and update records and systems: Accurately update internal systems, onboarding tools, and third-party platforms to reflect application status and ensure data integrity throughout the process.
• Ongoing maintenance and lifecycle management: Complete required maintenance activities for firms and advisers, ensuring records remain accurate and compliant post-onboarding.
• Process ownership and continuous improvement: Maintain up-to-date process documentation, identify inefficiencies, and proactively recommend and implement improvements to enhance the adviser experience and operational effectiveness.
• Management information (MI) support: Contribute to the production of weekly and monthly MI, providing accurate data and insights on pipeline performance, risks, and capacity.
• Personal development and accountability: Take ownership of individual performance, actively seek feedback, and continuously develop knowledge of onboarding processes, regulation, and systems.
• Support wider operational objectives: Undertake ad hoc projects and support business initiatives as required, contributing to departmental and organisational goals.
• Cross-skilling and team capability: Develop multi-functional capability by cross-skilling across operational processes, supporting team flexibility and resilience.

Personal profile

Qualifications required 

Desirable

• Basic standard of education, including GCSE English Language and Mathematics at grade C or above, or equivalent.
• Willingness to study towards the financial services qualification, or equivalent.
• Experience of working within a Financial Services Industry role.

Experience required

Essential

• Experience of liaising with customers
• Solid experience within an administrative function

Desirable

• Knowledge of the Financial Services industry.
• Previous experience of working in a customer services role.

Our Expectations

Our Approach to Risk Management

• You will require an awareness of operational and regulatory risk, which may impact on SBG. You will be responsible for reporting to their line manager any risk which may impact on the business.

Three Lines of Defence Risk Management Model

• You will be required to deliver your role competently and comply with the relevant standards and procedures, ensuring that SBG deliver a service where suitable advice is given to the end consumer, which is adequately recorded and ultimately promotes good customer outcomes. This can either be through direct influence or in a support services capacity.

The Consumer Duty Principle

• You will be required to highlight to your line manager procedures and processes that may impact on SBG’s ability to deliver good outcomes for retail customers and/or may lead to foreseeable harm. Where possible and relevant to your department, put forward suggestions that could positively impact the outcomes achieved by retail customers.

Information Security

• You will need to be aware of all information security principles, policies and procedures and ensure these are followed on a day-to-day basis. You will be required to remain vigilant at all times and report any security concerns, suspicions and/or breaches in a timely manner.