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T&C Manager - Private Bank /Wealth Management - London, United Kingdom,


The Client:

Our client provides private banking, wealth management, SIPPs and financial planning to its customers.

A new role has become available to manage the application and development of the Training and Competence (T&C) schemes within the Private Banking and Wealth Planning units, thereby strengthening the '1st line of defence' capabilities of the Bank.

The role:

  • To work with the Head of Private Banking to develop the T&C scheme within the Private Banking and Wealth Planning units, taking responsibility for managing the day to day application of the scheme and ensuring that the T&C supervisors adhere to the requirements of the scheme
  • Responsible for continuously reviewing the requirements of the T&C scheme and proactively identifying opportunities to develop it further, with support from the Head of Private Banking
  • To coach and support the T&C Supervisors across the division in the application of the scheme
  • To train new T&C Supervisors on both the soft skills and practical application of the T&C Scheme
  • Conduct check-the-checker file reviews and observed visits across all product areas, identifying the suitability of the advice given by an adviser and areas for development.
  • To act as an escalation point for complex files or sensitive issues.
  • To identify common themes and risks across the business in terms of development areas or knowledge gaps.
  • To educate the client facing staff in the business on the benefits of a robust T&C Scheme.
  • To develop own professional expertise through on the job training, formal training and, where appropriate professional qualifications.
  • Carry out any other duty related to T&C as may reasonably be required by the Head of Private Banking.

Key Requirements:

  • CII / PFS qualification, ideally diploma qualified
  • Excellent, proven interpersonal, verbal and written communication skills
  • Ability to challenge when required, in a constructive manner
  • Proven experience in working within a T&C/Suitability role
  • Has a good understanding of FCA requirements for T&C
  • Demonstrable knowledge of suitability, risk profiles and KYC