Supervision and Advice Quality Manager recruitment

Our client is a leading Private Bank with an enviable reputation. They are currently seeking Supervision and Advice Quality Manager to join their Front Office. This is a newly expanded role within an established Business Assurance focussed team that provides rigorous oversight and supervision of the advice given to clients by both Relationship Managers and Product Specialists, in a time when the firm is solely focused on driving high standards of advice across all parts of the business.

Your main responsibilities will be:

• Undertaking sufficient sample review work with associated feedback and remedial action tracking, to help embed standards which ensure suitable advice and fair outcomes for the firms’ clients.

• Helping to mitigate reputational and regulatory risk.

• Overseeing and shaping the Regulated investment Supervision requirements and arrangements for all regulated roles and people across the firm.

• Assessing and checking the quality of advice given by Relationship Managers and Product Specialists.

• Reviewing documentations to ensure it complies with the relevant principle based regulations and industry standards through auditing the technical content of the documentation.

• Completing remediation actions and performance improvements.

• Ensuring the firm consistently achieves high standards of regulated investment supervision.

• Establishing and maintain commercial relationships with key stakeholders.

• Challenging and influencing the design and requirements of the internal Training and Competence scheme.

• Completing satisfactory internal audit/Compliance Reviews of the team processes and output.

•  Complying with FSA requirements to attain and maintain competence in accordance with the relevant Training and Competence scheme.

• Adhering and understanding all technical changes and developments as they occur both internally and within the industry.

• Implementing the Groups Compliance Policy.

• Ensuring external and internal regulatory guidelines/standards and procedures are consistently applied.

You will have a proven track record within Private Banking, with extensive experience of both product and service investment advice. Your in depth knowledge of the regulatory landscape, particularly relating to Training Competence, Conduct of Business and Systems and Controls, will motivate you to keep up to date with any complex or technical changes that occur. You will be focused with imbedding the regulatory investment supervision element to the position which will require your strong communicative skills and entrepreneurial mind set to successfully cement it with a high level of service.

To discuss this opportunity and others within Private Banking please contact Rachel Brown on 02031453352 or at rachel.brown@bruinfinancial.com.