Suitability Manager Suitability Manager …

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 Manager
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, identified by Suitability of Advice reviews across a range of competencies including mortgages and investments. 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 Manager to join our Newcastle team. In this role you will be providing operational and technical support in delivering suitability reviews to our FS clients, which will include providing technical advice on related topics and insights on latest market trends, including FCA Thematic Reviews. You would be working directly with clients to help and advise them on regulatory issues. Continuing expansion means we are looking for people who will thrive in a fast-paced environment, will help to facilitate this growth and enjoy leading different teams.

Your Key Responsibilities
As a Suitability and Conduct Risk Manager 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 be leading teams who will be carrying out quality checking and quality analysis of File Review and outcome testing reviews on the customer interactions on behalf of our clients. You will ensure files are reviewed and checked in accordance with the appropriate policy and controls framework. You will also be responsible for the day to day management of our Suitability and conduct risk engagement teams. Acting as the onsite project, and the interface between the client, Engagement Partner and wider EY project teams.
Client Responsibilities:
  • Act as Project Lead for Suitability Review projects, either in a historic remediation environment, or in the BAU arena
  • Act as Site Lead to plan, develop, test and implement the services to be provided; including agreement of SLA's and KPI's
  • Client liaison and preparation of performance MI
  • Management of resources, individual client budgets and coordination of systems development activity necessary to complete services as required.
  • Implement and ensure timely compliance of new or revised suitability standards and regulatory changes.
  • Mobilisation of project teams and design of the processes to be followed
  • Develop and maintain productive working relationships with client personnel, whilst building strong internal relationships within Advisory and across other services
  • Create bids and proposals for new projects and client opportunities
People Responsibilities:
  • Assist the Solution Lead in further developing and refining Advisory Service Suitability Review and Conduct Risk offerings.
  • Supervision of Associates and Executives at department, solution and project level
  • Management of the team, including direct supervision of work, ensuring targets are met and all processes and procedures are adhered to
  • Ensuring other ad hoc department requirements are carried out, delegating where appropriate
  • Support the development of junior members of staff

Skills and Attributes for Success
  • At least 5 years of Regulatory Compliance experience
  • Experience of managing project teams
  • Assertive and proactive approach to the delivery and implementation of client engagements
  • Strong relationship building and networking skills
  • Strong analytical, interpersonal, communication and writing skills
  • Demonstrated integrity within a professional environment
To qualify for the role, you must have
  • QCF Level 4 Financial Advisor or Level 3 / 4 Mortgage Qualifications, for example; CII DipPFS, IFS CeMAP/DipMAP or equivalent
  • Either studying towards or willing to progress to QCF Level 6 and Chartered status
  • Experience of FCA COBs Sourcebook
Ideally, you'll also have
  • Experience of managing, coaching and mentoring junior team members
  • Experience and understanding of Financial Services
What We Look For
You'll be a trusted business advisor to our clients, specialising within the Suitability and 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.