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