About ARK Capital
ARK Capital is a forward-thinking wealth management firm dedicated to providing comprehensive global wealth management and financial guardianship, tailored to the individual needs of those we serve. We offer holistic financial planning, investment management, and estate planning services to private clients, families, and business owners. Our team prides itself on delivering bespoke, ethical, and evidence-based advice.
Role Purpose
The Head of Technical Planning is a senior leadership position responsible for managing and developing ARK Capital's paraplanning function, ensuring the delivery of high-quality, compliant, and client-focused financial planning support to Advisers. The role will provide technical leadership, oversee governance and product oversight, and drive process and policy implementation.
This individual will head the
Paraplanning Department
, lead the
Product Committee
, and work closely with
Compliance
and the
COO
to ensure that all advice, processes, and documentation meet MiFID II and cross-border regulatory standards.
Key Responsibilities
1. Leadership & Department Management
* Lead, develop, and mentor the paraplanning team to deliver exceptional technical support to Advisers.
* Establish and manage department goals aligned with ARK Capital's strategic objectives.
* Ensure all paraplanners and advisers maintain Continuous Professional Development (CPD) in line with MiFID II and local regulatory requirements (France, Portugal and Cyprus).
* Support the implementation of agreed new advice processes, ensuring full integration into daily practice.
* Promote a culture of learning, professionalism, and excellence.
2. Technical Research & Analysis
* Conduct detailed technical research across pensions, investments, protection, and tax planning.
* Analyse clients' financial circumstances and prepare comprehensive cashflow and scenario models.
* Review and evaluate existing client portfolios to provide evidence-based recommendations.
* Liaise with Advisers to ensure financial solutions align with client goals and compliance standards.
* Maintain up-to-date knowledge of provider offerings, fee structures, and product changes.
3. Report Writing, Checking
* Draft and review compliant, clear, and tailored suitability reports for Advisers.
* Oversee report checking and quality assurance across the paraplanning team.
* Approve investment trades and transactions in line with suitability reports.
* Ensure all trade desk activity is compliant, documented, and auditable.
4. Trade Desk (RTO)
* Build, manage, and oversee a Trade Desk service responsible for the Reception and Transmission of Orders (RTO).
5. Product Governance & Committee Leadership
* Chair the
Product Committee
, ensuring rigorous due diligence and selection of products and providers.
* Collaborate with Compliance to oversee governance of client-facing materials and documentation, ensuring alignment with MiFID II requirements.
* Ensure the company's product range and client offerings meet both internal quality standards and regulatory obligations.
* Contribute to the firm's risk management and due diligence frameworks.
* Act as a technical subject matter expert in product selection, suitability, and implementation.
6. Compliance & Governance
* Maintain up-to-date knowledge of MiFID II, local EU financial regulations, and best practices.
* Work with Compliance to ensure advice and processes meet all regulatory obligations.
* Participate in and support periodic compliance audits, advisor file checks, and regulatory reviews.
* Ensure the paraplanning and advisory teams operate within the firm's risk and governance frameworks.
* Represent and explain ARK Capital's advice and governance processes to regulators when required.
7. Process Improvement & Implementation
* Drive continuous improvement in paraplanning procedures, templates, and workflows.
* Ensure the successful implementation of new internal policies and procedures.
* Collaborate with operations and technology teams to integrate CRM and system enhancements to streamline advice and compliance processes.
* Support compliance and operations in ongoing audits, monitoring, and reporting activities.
Qualifications & Experience
Essential:
* Chartered status with the
CII
or
CISI
(or equivalent).
* Minimum
5 years' experience
as a senior paraplanner within a wealth management or financial planning environment.
* Proven
cross-border financial planning experience
(EU jurisdictions).
* Strong technical knowledge across pensions, investments, protection, and taxation.
* Demonstrated leadership and team development experience.
* Excellent written and verbal communication skills in
English
(native or fluent).
* Strong analytical and problem-solving capabilities with high attention to detail.
* Demonstrated ability to work effectively with Advisers, Compliance, and Senior Management.
* Passionate about paraplanning, continuous learning, and maintaining the highest professional standards.
Desirable:
* Experience working in a MiFID II-regulated firm.
* Knowledge of Portuguese and/or Cypriot regulatory frameworks.
* Experience implementing new processes or CRM systems.
* Proven track record of building or managing a trade desk or similar operational function.
Key Attributes
* Technically proficient and strategically minded.
* Ethical, diligent, and quality-focused.
* Strong leader and team builder with excellent interpersonal skills.
* Proactive in identifying risks, opportunities, and solutions.
* Adaptable to change and passionate about continuous improvement.