T&C Supervisor – Private Bank /Wealth Management

London (Greater)
£55,000 - £65,000
22 Nov 2018
22 Dec 2018
Experience Level
Contract Type

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

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