Simon Davies

Senior Advice Framework Manager @Schroders Personal Wealth

GB

Owns SPW’s Advice Framework, ensuring the advice process is conducted within SPW’s risk appetite. This includes writing and maintaining advice guides, Know Your Customer requirements and associated suitability reports. • Ensuring / Focusing on good consumer outcomes, TCF and Consumer Duty to ensure SPW remains regulatorily compliant. • Supporting and advising the business as an advice SME by providing technical and regulatory subject matter expertise as they define future advice strategies. • Act as the advice lead in transformation and change management/project initiatives. This includes streamlined advice services and a guidance/wellbeing app being for a top four accountancy firm.• Conduct horizon scanning and provide subject matter expertise on external policy, regulation and best practice as pertaining to financial advice and Schroders Personal Wealth target market.• Informing and advising senior leadership on emerging regulatory trends and the business response to these.• Supporting compliance and risk teams in relation to technical advice matters and regulatory best practice across the business. • Acted as the advice SME in reviewing and inputting into customer facing literature, brochure and adviser collateral• Support the training team and regional compliance managers (T&C) in rolling out technical and ad hoc training• Supporting on regulatory liaison and responding to FCA requests for information in relation to thematic reviews and data requests.

CII/PFS

Chartered Financial Planner/Pension Transfer Specialist