Suitability Executive Suitability Executive …

in Newcastle upon Tyne, England, United Kingdom
Permanent, Full time
Be the first to apply
in Newcastle upon Tyne, England, United Kingdom
Permanent, Full time
Be the first to apply
Suitability Executive
Market leading growth in our Advisory Service Delivery team has created opportunities for new people to join the team, working in our Newcastle Service Delivery Centre . This is a great opportunity to play a key role in providing financial service clients with technical compliance advice on regulatory issues. This opportunity will allow you to build on your compliance and regulatory knowledge, within a well-established and knowledgeable team.

The Opportunity

The Advisory Service Delivery team is one of EY's fastest growth areas and we are based in a modern office in Newcastle city centre. We have an excellent opportunity for a Suitability and Conduct Risk Executive to join our Newcastle team. In this role you will be providing operational and technical support in delivering suitability reviews to our FS clients. This will include providing technical advice on related topics and insights on latest market trends including FCA Thematic Reviews. You would be playing a key role in helping and advising clients on regulatory issues. Continuing expansion means we are looking for people who will thrive in a fast-paced environment, and enjoy working as part of different teams.

Your Key Responsibilities

As a Suitability Executive in our Advisory Service Delivery team, you will be working with global EY teams to deliver high quality work to our clients, which will primarily be from the financial sector. You will help our clients gain comfort by using quality checking and quality analysis of File Review activity and customer contact activity. This will help establish whether financial advice is suitable, or whether outcomes are fair and in line with regulatory guidance such as TCF principles. You will be responsible for the day-to-day supervision of project staff, allocating and managing workloads, communicating changes and resolving issues should they arise. Your role may also include conducting QC/QA Activity on reviews completed EY or client staff or contractors. You will also act as a link between management and the wider team, communicating information and decisions, while also connecting project management and file reviews. You may act as Subject Matter Resource (SMR), helping to resolve technical questions and issues for EY or client teams.
Client Responsibilities:
  • Work effectively as a team member sharing responsibility, providing support, maintaining communication, and updating senior team members on progress
  • Assist with the mobilisation of project teams and design of the processes to be followed
  • Support engagement management activities such as finance tracking, billing, resource management
  • Develop and maintain productive working relationships with client personnel, whilst building strong internal relationships within Advisory and across other services
  • Support bids and proposals for new projects and client opportunities
  • Assist in preparing reports and outputs that will be delivered to clients and other parties
People Responsibilities:
  • Contribute to people initiatives including training, buddying with new joiners etc.
  • Maintain an educational program to continually develop personal skills
  • Understand and follow workplace policies and procedures
  • Support the development of junior colleagues
Skills and Attributes for Success
  • History of working for large scale organisations
  • Knowledge in Suitability Review, Conduct Risk and Regulatory Compliance experience and/or Financial Advice/Para-planning
  • Ability to conduct Quality Check File Review activity
  • Creative, independent with good problem-solving skills
  • Strong analytical, interpersonal, communication and writing skills
  • Demonstrated integrity within a professional environment
To qualify for the role you must have
  • A strong academic background to degree level or equivalent experience in a directly related role
  • Full QCF Level 4 Financial Advisor / Level 3 or 4 Mortgage Qualifications, e.g. CII DipPFS, IFS, CeMAP/ DipMAP or equivalent are preferable
  • Understanding of FCA COBs Sourcebook
Ideally, you'll also have
  • Experience of supervising or coaching and mentoring junior team members
  • Experience and understanding of Financial Services
  • Experience delivering client engagements
What We Look For
You'll be a trusted business advisor to our clients, specialising within the Suitability, Conduct Risk and broader Regulatory Compliance field, so they'll look to you to find, ask and answer the questions nobody else has asked yet and then develop and execute an effective service. If you're ready to take on a wide range of responsibilities, and are committed to seeking out new ways to make a difference, this role is for you.

What working at EY offers
We offer a competitive remuneration package where you'll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career development, and with FlexEY you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer:

  • Support and coaching from some of the most engaging colleagues around
  • Opportunities to develop new skills and progress your career
  • The freedom and flexibility to handle your role in a way that's right for you
  • Visit our careers microsite for more information

EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance.

About EY
As a global leader in assurance, tax, transaction and advisory services, we're using the finance products, expertise and systems we've developed to build a b etter working world. That starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. Whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. And with a commitment to hiring and developing the most passionate people, we'll make our ambition to be the best employer by 2020 a reality.

If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible.
Start today, change tomorrow.

Apply now.