James Cox

• I currently lead a team of 10 financial planners providing supervision, guidance, and professional development to ensure optimal team performance.
• This is during a period of change, resulting from the combination of Investec Wealth & Investment & Rathbones.
• I am the key relationship between the investment management team leaders and the wealth advisory teams in London.
• I have lead by example in terms of the standard of my client work, which has been recognised by our advice assurance team.
• I continue to look after a large bank of HNW/HNW clients alongside this leadership role which generates significant revenue directly through Financial Planning fees and indirectly via increase investment management fees.

• I started as an Associate Financial Planning Director in 2018 and have been promoted twice during the 5 years, becoming a Senior Financial Planning Director in February 2022.
• I have shown that I can provide high qualify, technically sound advice to my clients, which are now typically HNW and UHNW.
• In every year to date, I have significantly increased my revenue for the business, whilst also becoming an integral member of the London Financial Planning team.
• I regularly use my technically expertise to help, mentor and support my colleagues.
• I have been operating and relied on as a Pension Transfer Specialist (PTS) for a number of years at IWIN.

• My primary role was to provide Financial Planning advice to new and existing clients of the business.
• This was my first CF30 role and provided me with the basis in which I provide advice today.
• Whilst only a short tenure, I learnt an enormous amount in terms of my presentation skills, how to manage a client bank and enhanced my technical capabilities.
• During my time at Edison, I worked on a project to produce a bespoke risk profiling tool.
• I also worked with a divorce law firm to provide cash-flow modelling advice to aid the divorce process and get the best outcome for my client.

Working within a successful family office team servicing UHNW individuals and trusts. I was responsible for the whole new business process and producing day to day financial planning advice.

My main duties and achievements were:

•Producing suitability recommendations for advice to our UHNW clients
•Producing investment proposals for presentation to both individual and institutional prospects
•Undertaking a review of the team’s risk profiling procedure and managing the transition to a new robust process/procedure
•Developing a new panel of tax efficient investments for our clients
•Providing technical support in client review and prospect meetings

• Working with a Chartered Financial Planner, providing full financial planning advice to 150 clients. During my time at Helm Godfrey I made the transition from administrator to providing full paraplanning support.
• Working for a Chartered Financial Planner gave me the desire to have a career in Financial Planning.
• I completed my diploma in Regulated Financial Planning during this time, which enabled me to produce high quality reports.
• I was relied upon to execute advice on the Nucleus platform, such as fund switches and pension transfer implementation

• My role was managing the daily administration of 300+ HNW clients spread between 40 financial advisors (40 direct execution only)
• Within this role I developed an in depth understanding of SIPPs and pension legislation.
• I looked after numerous SIPPs which held commercial property and unquoted investments.

• Working with a variety of specialist pension contracts, all requiring in depth understanding.
• This was mainly an administration role, which nevertheless required attention to detail when facilitating customer instructions (Fund switches and changes of personal information)