Leading Private Bank are seeking to employ an experienced professional to be responsible for the ongoing supervision of regulated advisers and accountable for the implementation of the T&C policy within the Private Banking, Investment Management and Wealth Planning areas.
This will include identifying the suitability of advice given, delivering training and assessing and maintaining the competence of regulated advisers through file reviews, observations, KPIs and regular stakeholder engagement.
You will also act as an escalation point for complex files or sensitive issues.
The successful candidate will contribute to the administration of a fit for purpose T&C scheme across the Bank and will cover all regulated activity, creating strong working relationships across all key stakeholders ensuring all colleagues understand their accountabilities.
The role will report to the Head of T&C.
* Ensure that advisors attain and maintain competency, identify conduct risks and deliver training where appropriate.
* Uphold all regulatory and compliance policies and procedures to mitigate risks and ensure that the Bank is fully protected.
* Liaise with key stakeholders such as Human Resources / on boarding Team, Wealth and Investment Management, Private Banking, Compliance and the Accredited Bodies where necessary.
* Arrange and oversee completion of the initial training of new joiners, and progress practical assessment activity.
Review the documentation prepared to support sign off for the individual to competent status.
* Carry out periodic and year-end reviews of activity to maintain competence.
* Liaise with advisers when applying for an initial or renewal Statement of Professional Standing.
* To recognise that treating customers fairly and maintaining a strong conduct risk culture is at the heart of how we conduct our business.
* Maintain appropriate levels of technical knowledge across Private Banking, Investment Management and Wealth Planning.
* Be familiar with all relevant processes, procedures and schemes and recommend improvements where appropriate to ensure they remain fit for purpose.
* Produce, maintain and communicate appropriate Management Information to key stakeholders.
* Maintain excellent relationships with Compliance, Private Banking, Investment Management and Wealth Planning, and all key stakeholders across the Bank as well as externally.
I am seeking a Dip PFS Level 4 (minimum) experienced T&C Supervisor/Manager for this role - please contact me if you would like to discuss further.
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.