At a Glance
- Tasks: Support training and governance in Wealth Management while developing technical expertise.
- Company: Join Arbuthnot Latham, a dynamic and inclusive bank focused on personal growth.
- Benefits: Enjoy flexible working, competitive holidays, and a range of wellness benefits.
- Other info: Collaborative environment with opportunities for professional development and recognition.
- Why this job: Make a real impact in Wealth Management while advancing your career.
- Qualifications: Level 4 Diploma in Financial Planning or working towards it; strong organisational skills.
The predicted salary is between 33075 - 40425 £ per year.
Wealth Management - Technical Standards & Governance Executive
To provide operational and technical support to the Training & Competence (T&C) function within Wealth Management.
This role will assist in maintaining advice standards, supporting T&C processes, and coordinating technical projects.
Over time, the role will develop deeper technical expertise and leadership capability to act as deputy to the Technical Director.
To place the interests of customers at the centre of all activities, act in a way that is consistent with achieving good outcomes for consumers; and t o comply with the FCA and PRA's Conduct Rules.
Key Responsibilities
- Training & Competence Support
- Assist in maintaining T&C records administration, and MI reporting.
- Coordinate initial training programmes for new joiners, and delivery of technical assessments via Competent Advisor.
- Support the process for Statements of Professional Standing (SPS) applications and FCA reporting.
- Help design and deliver learning resources via platforms such as Skillserve
- Policy & Governance Support
- Assist in updating and maintaining advice standards, templates, and policy documents.
- Support monitoring of adherence to governance processes across advisory teams.
- Manage and support the T&C collateral and document control process.
- Technical & Market Research
- Track legislative changes, FCA updates, and market trends to inform collateral.
- Prepare briefing notes for internal forums and technical learning sessions.
- Act as first point of contact for routine technical queries before escalation.
- Support communication between T&C, Compliance, Marketing, and Advisory teams.
- MI & Reporting
- Prepare draft MI reports for review by the Technical Director.
- Technical & Market Research
- Track legislative changes, FCA updates, and market trends to inform collateral.
- Prepare briefing notes for internal forums and technical learning sessions.
- Stakeholder Liaison
- Act as first point of contact for routine technical queries before escalation.
- Support communication between T&C, Compliance, Marketing, and Advisory teams.
- MI & Reporting
- Prepare draft MI reports for review by the Technical Director.
Assist in data analysis for T&C performance and risk indicators.
Key Interfaces
- Teams across Wealth Management
- Client facing roles in Banking
- Learning and Development
- Compliance
- Marketing
Person Specification
Knowledge/
Experience/Skills
- Demonstrable experience working in Wealth Management or Financial Services
- Awareness of the regulated Financial Planning environment, the High Net Worth (HNW) segment, and holistic Wealth Planning and Investment Management disciplines (across investment, pensions, protection, estate planning and banking)
- Strong organisational and administrative skills.
- Ability to absorb and summarise technical information clearly.
- Good written and verbal communication skills.
- Proficient in Microsoft Office (Excel, Word, Power Point).
- Personal Attributes
- Proactive and eager to learn.
- Strong attention to detail.
- Ability to work collaboratively across multiple teams.
- Flexible and resilient when faced with operational challenges.
Qualifications
- Minimum: Level 4 Diploma in Financial Planning (or working towards).
- Long-term: Progress toward Level 6 and Chartered status to align with deputy responsibilities.
- Team Working
- Working proactively
- Problem Solving and Judgement
- Planning and reviewing
- Communication and confidence
About Us
About Us
At Arbuthnot Latham, we seek proactive individuals who embrace high standards and bring the energy needed to drive success.
In return, you can thrive in a dynamic environment that values your innovative ideas and provides the stability and support for your personal and professional growth.
Our human-scale ethos means that everyone is recognised as an individual, not just a number, creating a workplace where you truly belong and thrive.
As a service led, relationship driven bank, in-person collaboration and wellbeing are important to us and drives our inclusive culture.
With this in mind, we offer one day a week working from home.
- Competitive holiday allowance with the ability to buy / sell / rollover up to five days per year
- Pension via market leading provider
- 4x Life Assurance
- Discretionary Bonus
- Access to a suite of flexible benefits including Cycle to Work Scheme, Gym Scheme, Health Assessment, Season Ticket / Travel loans and Dental
Wealth Management - Technical Standards & Governance Executive in London employer: Arbuthnot Latham & Co.,
At Arbuthnot Latham, we pride ourselves on being an exceptional employer, particularly for our Investment Managers in the vibrant city of Bristol. Our collaborative work culture fosters strong relationships and encourages professional growth, offering tailored training and development opportunities to help you excel in your career. With a commitment to delivering personalised client service and a focus on ethical investment practices, you'll find a rewarding environment where your contributions truly matter.
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We think this is how you could land Wealth Management - Technical Standards & Governance Executive in London
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We think you need these skills to ace Wealth Management - Technical Standards & Governance Executive in London
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