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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