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As an approved person you must accept responsibility and demonstrate an understanding for the regulatory aspects and framework of the FCA controlled function that you perform, and ensure you meet and abide by the rules of the FCA’s fit and proper test, and comply with the FCA’s Statements of Principle and the Code of Practice. Additionally you must ensure your compliance with all internal policies, procedures and standards.
Demonstrates adherence to CBAM’s compliance procedures and protocols delivering good conduct risk outcomes as well as Training and Competence.
Acts in accordance with CBAM’s regulatory standards, compliance policies and processes ensuring good client outcomes.
To plan, implement and execute the annual Business Plan in line with your agreed individual targets acquiring new clients growing initial revenues and cumulative AuM.
Grow the client bank in line with your agreed individual targets through personal prospecting, e.g.; existing clients, referrals, introductions from professionals.
Develop a collaborative productive relationship with the Business Development team.
Ensure all periodic client reviews are completed in line with client’s expectations and changing circumstances.
Remain compliant – measurements include; Business Quality Assurance (BQA) grades, CPD, complaints upheld, maintaining SPS.
Achieve all Key Performance Indicators (KPIs) measured via a Balanced Business Scorecard (BBS).
Grow both the total and average ongoing advice fees across all retained clients.
Work in partnership with all team members, sharing best practice and developing client acquisition strategies.
Execute a client centric migration process on an ongoing basis as required.