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This newly created role will be sitting within a 200 strong team in a Private Bank managing UHNW clients from £5million - £20million of investible assets.

You will be part of a fairly recently established Business Assurance focussed team in the Relationship Manager space.
The role will involve rigorous oversight and supervision of the advice given to clients by RMs and Product Specialists. The high level objective is to undertake sufficient sample review work, with associated feedback and remedial action tracking, in order to help embed standards which ensure suitable advice and fair outcomes for clients of PBGB, and help mitigate reputational and regulatory risk.

Duties:
Responsible for assessing and checking the quality of advice evidenced by RMs and Product Specialists. Reviewing documentation to ensure it complies with relevant principle based regulations and industry standards
Following through completion of action plans.
Performance improvement, coaching and mentoring
Challenging and escalating poor behaviours and issues as appropriate
Providing technical support & guidance to RMs on matters within the scope of the role and team
To comply with Financial Services Authority requirements to attain and maintain competence in accordance with relevant training and competence scheme and apply this to relevant colleagues
To continually consider the Financial Services Authority’s principle of ‘Treating Customers Fairly’ (TCF) and the six Consumer Outcomes.
To consider the operational risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.
To adhere to and be able to demonstrate adherence to internal controls.
Is aware of the Operational Risk scenario associated with the role and acts in a manner that takes account of operational risk considerations and provides feedback to the Risk and Compliance Functions
The jobholder will require sound technical competence across a wide number of areas and will need an excellent business judgement to deal with queries/issues raised by RMs, Specialists and clients in order to maintain the credibility/integrity of the business.
Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
KNOWLEDGE
Existing and extensive experience of the full range of investment advice provision – product and service/process and procedure, intimate knowledge of the regulatory landscape, particularly from a TC, COBS and SYSC perspective.
SKILLS
Self-starter with ability to adapt to changing requirements and structure of a new team
Ability to communicate at all levels with confidence (written & verbal)
Inspire respect, trust.
To act commercially.

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