A well-established private bank is seeking a Business Standards & Quality Manager to join its Compliance / Training & Competence (T&C) function. This is an excellent opportunity for a Paraplanner or suitability reviewer looking to transition into a broader compliance-focused role, with clear progression into a T&C Supervisory position over time.
The Role
You will play a key role in ensuring high standards of advice and documentation across the business through detailed client file reviews. Working closely with advisers and T&C Supervisors, you will provide valuable feedback, identify trends, and contribute to training and coaching strategies.
Key responsibilities include:
- Conducting client file reviews to assess advice suitability and documentation quality
- Delivering constructive feedback to advisers and identifying performance trends
- Supporting T&C Supervisors with oversight and coaching initiatives
- Maintaining and enhancing T&C processes and supervisory documentation
- Assisting with projects and technical support alongside senior stakeholders
- Ensuring adherence to regulatory standards and internal compliance frameworks
About You
- Experience in paraplanning, file review, or advice suitability assessment
- Understanding of the Training & Competence (T&C) framework (desirable)
- Knowledge of COBS, ICOBS and/or MCOB
- Strong analytical skills with the ability to assess complex cases
- Excellent communication skills, both written and verbal
- Highly organised with the ability to manage workloads independently
- Proactive, detail-oriented, and comfortable working with stakeholders across the business
Qualifications
- Level 4 Diploma (or equivalent) in Financial Planning or Investment Management required
What’s on Offer
- Competitive salary (£55k–£65k, with potential flexibility)
- Discretionary bonus
- Comprehensive benefits package (including private healthcare, pension, life assurance)
- Hybrid working model (4 days office-based)
- Strong career progression within the T&C / Compliance function
This is a fantastic opportunity to move into a strategic compliance role within a highly reputable banking environment, offering both variety and long-term career development.
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