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Job Description

This role plays a key part in upholding the quality, consistency and integrity of advice delivered at Arbuthnot Latham. Supporting the effective operation of the Training & Competence (T&C) Scheme, you will assess advice suitability and client file accuracy, provide clear and constructive feedback to advisers under supervision, and work closely with T&C Supervisors to identify trends and inform targeted training and coaching initiatives.
 

Key Responsibilities:

  • Carry out file quality and advice suitability assessments across Wealth Planning, Investment management and Regulated lending businesses.
  • Liaise effectively with the Training and Competence Supervisors and deliver constructive feedback to the relevant Adviser(s).
  • Support the Technical Director through administrative support and project work.
  • Maintain and update T&C processes & supervisory documents.
  • Be familiar with all relevant processes, procedures and standards relevant to T&C such as the Advice Standards, the T&C Scheme and business processes and documentation.
  •  Maintain appropriate levels of technical & regulatory knowledge across Investment Management, Financial Planning and Regulated Lending.
  • Attend business meetings and training sessions, and contribute feedback and training were appropriate.
  • Uphold all regulatory and compliance policies and procedures to mitigate risks and ensure that the Bank is fully protected.

Compliance/Risk:

  • Complete required benchmark qualifications, adhering to both legal and regulatory requirements.
  • To develop own professional expertise through on-the-job training, formal training and, where appropriate, professional qualifications.
  •  Responsible for managing risks inherent to the role by diligently observing internal policies and procedures.

Key Interfaces:

Maintain excellent relationships with Compliance, Private Banking, Investment Management and Wealth Planning, and all key stakeholders across the Bank as well as externally. 

Person Specification

Knowledge / Experience/Skills:

  • Significant experience within the financial services industry.
  • Previous experience of assessing and/or reviewing the suitability of advice would be preferred, but not essential.
  • Awareness of knowledge of COBS, ICOBS and MCOB.
  • Awareness and understanding of the Training and Competence function.
  • Able to establish and develop effective working relationships both internally and externally.
  • Able to work efficiently in a self-directed manner & demonstrate the ability to plan and organise workloads effectively to meet business timescales.

Skills

  • IT literate, with a good knowledge of Microsoft office, especially excel.
  • Ability to work under pressure
  • Contribute to a positive and supportive team culture.
  • Proactive approach to the role looking for new and innovative ways to deliver value.
  • Strong stakeholder management, negotiation, prioritisation and organisational skills.
  • Ability to analyse complex data and demonstrate good judgement on subjective matters
  •  To be able to take a pragmatic approach to problem solving and decision making.
  • Strong written and verbal communications skills, report writing, and a clear presentation style are essential for this role.

Personal Attributes:

Demonstrate excellent time management, self-planning and organisational skills.  The ability to communicate effectively and confidently, ensuring that all written correspondence is grammatically correct and that all conversations can be tailored to the level of the audience.  Have a positive outlook, be client focused and self-motivated, and be driven to deliver a world-class service to clients.  Enjoy working in a team environment.
 

Qualifications:

  • Should hold RDR Level 4 qualification in Financial Planning or Investment Management.

Competencies:

  • Team Working
  • Communications and Influencing
  • Service and excellence
  • Planning and reviewing 

About Us

Life, Work and Benefits

At Arbuthnot Latham, we seek proactive individuals who embrace high standards and bring the energy needed to drive success. In return, you can thrive in a dynamic environment that values your innovative ideas and provides the stability and support for your personal and professional growth. Our human-scale ethos means that everyone is recognised as an individual, not just a number, creating a workplace where you truly belong and thrive.

As a service led, relationship driven bank, in-person collaboration and wellbeing are important to us and drives our inclusive culture. With this in mind, our Agile Working Policy offers one day a week working from home.

Benefits

  • Competitive holiday allowance with the ability to buy / sell / rollover up to five days per year
  • Pension via market leading provider
  • Private Healthcare cover
  •  4x Life Assurance
  • Discretionary Bonus
  • Access to a suite of flexible benefits including Cycle to Work Scheme, Gym Scheme, Health Assessment, Season Ticket / Travel loans and Dental insurance as well as other discounts / vouchers
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