Training & Competence Supervisor

Brown Shipley, Manchester, GBR, M3 3HF
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Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our client and their families and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others, we are small (<2,000 employees across 50 European and UK locations) with an ambition to stay true to our purpose to be the most trusted fiduciary of family wealth. We also promote hybrid working across the Group.

The purpose of the role is to support the management, application and development of the Training and Competency (T&C) framework within Brown Shipley’s Private Banking and Wealth Planning & Credit functions.  

Key Accountabilities

• To work with the Regulatory Implementation Manager and T&C Team Leader, to maintain and embed the T&C framework within the Private Bank (namely, Client Advisers, Wealth Planners and Credit Specialists), taking responsibility for ensuring that all aspects of the scheme are adhered to.
• Conduct a range of supervisory activities (including, adviser 1-1s, observed meetings, advice quality checks and bespoke training/coaching, supervising supervisors) across all product areas, determining the suitability of the advice given and highlighting areas for development.
• To be seen as an agent for change proactively seeking solutions to problems and issues.
• To act as a referral point for complex files or sensitive issues.
• To identify common themes and risks across the business in terms of development areas or knowledge gaps.
• Facilitate and deliver training for the front office. To educate the client facing staff in the business on the benefits of a robust conduct risk framework.
• Develop strong working relationships with relevant stakeholders across the business and any relevant third parties.

Knowledge and Experience

Proven experience of working within the UK financial services industry, in banking and the provision of regulated advice together with the operation and requirements of a T&C scheme.
Has a good understanding of FCA requirements for T&C, Certification and individual Conduct rules.
Demonstrable knowledge of suitability, risk profiles and KYC, including AML requirements.
Experience of coaching to improve the conduct and performance of front line/client advisers.
Familiar with people management, developing team members to action plans, setting and reviewing objectives and providing regular feedback and proactively taking action.  
Understands Risk within context of the role and meets the regulatory obligations, as applicable.
Good working knowledge of MS Office applications

Attributes and Qualities

Competent coach and facilitator, supporting individuals and team development and learning.
Genuine change leader who supports the Banks’ strategy and communicates change positively.
Thinks and behaves like an advocate, role modelling our values.  Is “client centred” focusing activity to support adviser provision of a best in class service.
Culture carrier: creates a partnership culture within teams and role models collaboration with other parts of the Quintet network to deliver the overall client proposition.
Supports and encourages others to generate a positive working culture, sharing information across functions.                                                                                                                            

Technical Skills

Act as true line of defence for clients and colleagues through proactive risk management.
Be the contact point for, and extension of the management team, responsible for positively communicating policy decisions to colleagues.  
Be jointly responsible for the primary monitoring and risk management of business critical processes drawn up in the interest of Quintet, compliance and internal/external regulatory obligations. 
Must hold a L4 RDR Qualification – relevant to Investment Management and/or Wealth Planning (CISI or CII).  Level 6/Chartered advice qualifications are desirable.
Desirable to hold a mortgage advice qualification such as CeMAP.
Desirable to hold a Supervision qualification (J07 or AF6).

Languages Skills

Fluent in English, Any European language advantageous 

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