Our Client

Our client is a well-regarded, fast growing and entrepreneurial financial services organisation who provides private banking, wealth management and financial planning from their various offices across the UK. An opportunity has arisen for a T&C specialist to assist in maintaining the Bank’s T&C framework and promoting a strong compliance culture, ensuring that regulatory and conduct risk is managed effectively.

The Role

Working across the group, you will be required to:

Work closely with the T&C Manager to develop the T&C scheme across Private Banking and Wealth Planning units.
Train new T&C supervisors on both the soft skills and practical application of the T&C scheme
Conduct file reviews and observe visits across all product areas, identifying the suitability of the advice given by an advisor and areas for developments
Act as an escalation point for complex files or sensitive issues
Identify common themes and risks across the business in terms of development areas or knowledge gaps
Educate the client-facing staff on the benefits of a robust T&C scheme
Recognise that Treating Customers Fairly and maintaining a strong conduct risk culture is at the forefront of everything you do

Key Requirements

Proven experience of working in a T&C/Suitability role
Experience of working in the Wealth Management, IFA or Private Banking sector
Very strong understanding of FCA requirements around T&C
Must be able to set high standards and ensure you can deliver a professional, accurate and timely service to customers
Relevant qualifications obtained (preferred)
Strong communication skills – written and verbal

T&C Supervisor – Private Bank /Wealth Management

T&C Supervisor – Private Bank /Wealth Management