• Profile
Job Description

To support the delivery and application of the T&C scheme through the assessment of advice suitability and paperwork accuracy via Client File Reviews.

This includes providing constructive feedback to the advisers under supervision, identifying trends in adviser performance and liaising effectively with the T&C supervisors by providing client file review output and having input into potential training and coaching strategies.

The role will also include team support responsibilities such as the review and maintenance supervisory documentation and processes, and ad hoc project work supporting either the T&C supervisors or the Technical Director.

The role has the potential to develop and expand, and the successful candidate may have the potential to progress into T&C Supervisory role.

The role will report to the Head of T&C.
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 Training and Competence supervisors in their supervisory duties where necessary.
  • 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.
  • 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 (applicable for all employees)

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

  • A minimum of 3 years’ experience within the financial services industry.
  • Ideally previous experience of assessing and/or reviewing the suitability of advice.
  • Some knowledge and understanding of the Training and Competence function would be desirable, but not essential.
  • Awareness of knowledge of COBS, ICOBS and MCOB.
  • 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.


  • 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, 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.


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


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