T&C Supervisor – Private Bank /Wealth Management
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.
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
- 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