Lead the Policy & Technical and Compliance Support Unit teams to provide a high quality and standards driven service to Bankhall customers.
Deliver directly authorised regulatory policy, support and service propositions to enable delivery of a first class and proactive service to clients.
Effectively support and manage direct reports on a day-to-day basis and ensure regulatory information and guidance is communicated effectively to key internal and external stakeholders.
• Awareness of operational and regulatory risk, which may impact on SBG. Responsible for reporting to their line manager any risk which may impact on the business.
Treating Customers Fairly and Retail Conduct Risk:
• Ensure that TCF/RCR principles are embedded into the team’s culture, departmental procedures and practices and that management controls and MI are in place to monitor these.
Three Lines of Defence:
• To deliver your role competently and comply with the relevant standards and procedures, ensuring that SBG deliver a service where suitable advice is given to the end consumer, which is adequately recorded and ultimately promotes that customers are treated fairly. This can either be through direct influence or in a support services capacity.
• Promote information security in your department, encouraging best practice by ensuring your staff comply with the information security principles, policies and procedures. Monitor workplace practice in line with these policies and procedures and deal firmly with any instances of non-compliance.
• Get the basics right through embedding the service charters into to the team culture. Encourage and exhibiting the behaviours that fit within the SBG service charters, leading the team to ensure a clear vision of what service delivery excellence means for the team ensuring that service is at the forefront of decision-making processes.
• Set clear personal objectives that are SMART and challenging, review objectives and provide feedback regularly in one to ones and formally through the Performance Evaluation Process (appraisal), within the set timescales.
• Manage performance across the team to ensure the achievement of service delivery outcomes.
• Manage any sensitive issues in line with SBG Policies and procedures, including attendance and performance issues.
• Coach and develop team to ensure they perform at a high level, strive for excellence and maintain appropriate knowledge of the Group’s propositions in line with the SBG values and competency framework.
• Addressing any training and development needs, ensuring direct reports have a personal development plan.
• Motivate and reward team to encourage behaviours within the department, which supports the values of SBG.
• Committed to group corporate citizenship in line with SBG’s CSR policy. Promote and advocate social interaction and encourage support within own department for nominated charities and corporate activities within the community.
|Interacting & Engaging |
|Technical Competence |
|Organising & Executing |
|Managing & Developing Self & Others |
|Service Delivery Excellence |
|Entrepreneurial & Commercial Thinking |
|Embracing Change |
|Collaborative Working |
- Diploma in Financial Planning (or equivalent).
- Strong relevant financial services industry experience