At a Glance
- Tasks: Design and maintain compliance policies, ensuring staff competence and understanding of responsibilities.
- Company: A prestigious Private Bank known for investment and wealth management.
- Benefits: 12-month contract with potential for permanent position and professional development opportunities.
- Other info: Collaborative environment with opportunities for continuous improvement and career growth.
- Why this job: Join a dynamic team and make a real impact in compliance within the banking sector.
- Qualifications: 5+ years in T&C, Compliance, or Risk; strong knowledge of FCA regulations.
The predicted salary is between 56700 - 69300 £ per year.
The
Company:
Our client is a highly recognised Private Bank specialising in investment, institutional asset management & private wealth management .
The
Role:
THIS ROLE IS A 12 MONTH CONTRACT ROLE WITH THE POTENTIAL TO CONVERT TO PERMANENT
The SMCR & T&C Compliance Officer will design, maintain, and embed the Private Banks Training & Competence policy and procedures aligned to FCA requirements and the Private Bank risk appetite.
Own the Certified Persons and Senior Managers training strategy, ensuring staff are competent, remain competent, and understand their responsibilities under the regime.
Operate and continuously improve Fit & Proper assessments for Senior Managers and Certified Persons, including annual/trigger reviews, evidence capture, and escalation.
Manage the annual T&C processes: certification, SPS renewals, Conduct Rules training/attestations, and breach reporting.
The SMCR & T&C Compliance Officer will keep the FCA directory for Certified Persons up to date and reconciled including reviews of the Material Risk Takers.
Support the Head of Regulatory Compliance to maintain the firms Management Responsibilities Map under the Senior Managers Regime.
Conduct skills-gap analysis and develop training plans for SMFs and track through to completion.
Define role-based competence standards, learning pathways, supervision KPIs, and CPD requirements; manage remediation plans.
The SMCR & T&C Compliance Officer will support in building and delivering a risk-based compliance training curriculum (e. g., conduct, AML/financial crime, Consumer Duty, product and suitability; sector-specific topics as relevant).
Source and manage external providers and qualifications (e. g., CISI/CII); implement blended learning and track completion/effectiveness.
Produce MI for Ex Co/Board: certification status, training completion, competence trends, breaches, remediation, and culture indicators.
Partner with Senior Managers, HR, and Compliance Monitoring to align T&C with performance and risk management; support regulatory engagements and audits
The SMCR & T&C Compliance Officer will maintain governance for T&C/SMCR (committee reporting, To R, action tracking) and ensure auditable records for all processes.
Coordinate remediation and supervised roles where competence gaps are identified; track closure of actions.
Perform gap analysis against FCA Handbook expectations (COCON, SYSC, TC, FIT) and industry good practice; drive continuous improvement.
The Candidate
5+ years in T&C, L&D, Compliance, or Risk within an FCA-regulated environment.
Strong knowledge of SMCR (Senior Managers, Certification, Conduct Rules) and Fit & Proper requirements; familiarity with FCA Handbook (COCON, SYSC, TC, FIT).
Proven experience running certification cycles, competence frameworks, QA/file review methodologies, and MI reporting.
Qualifications desirable: CISI/CII/ICA/CIPD
Strong stakeholder management and coaching capabilities; high attention to detail, sound judgement, and integrity
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SMCR & T&C Compliance Officer, CPD Requirements, Private Banking in London employer: All The Top Bananas
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StudySmarter Expert Advice🤫
We think this is how you could land SMCR & T&C Compliance Officer, CPD Requirements, Private Banking in London
✨Tap into Campus Networks
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We think you need these skills to ace SMCR & T&C Compliance Officer, CPD Requirements, Private Banking in London
Some tips for your application 🫡
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Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to All The Top Bananas.
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How to prepare for a job interview at All The Top Bananas
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with All The Top Bananas.
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✨Network with Industry Professionals
Before your interview, reach out to current or former All The Top Bananas employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
