T+C Supervisor

Posted 22 January by Heat Recruitment Featured

Position: T&C Supervisor

Location: Field Based

Salary: £35,000 -£40,000

The Role:

To support the Line Management of Financial Planners and Appointed Representatives across the Group to deliver the T&C requirements as defined by the FCA and the company.

To ensure that internal policies and procedures are adhered to and FCA regulatory requirements are met across the Group.

Responsibilities:

Responsible for the ongoing T&C of a number of regulated and other individuals within the group to ensure the highest standard of compliant business practice when discharging the responsibilities of the role.

Identify key areas for development of individuals within the advice process and take steps to help address any knowledge and skills shortfalls.

Maintain, update and review T&C records

To support line management in the supervision of Financial Planners by satisfactorily completing Client File Checks, Observed Meetings, One to One Development Meetings, provide coaching, feedback and training as appropriate in order to maintain and develop adviser competence

To report material breaches to the Head of Group Risk immediately

Agree training plans with relevant staff across the business

Maintain awareness of Regulatory developments which may have an impact on the business, in particular those that may impact on the T&C requirements of the business

Develop a solid working knowledge of all FCA regulated product ranges, service providers, investment platforms and FCA Principles and Rules.

What’s needed for me to be considered?

Time spent in similar role within Financial Services Industry

Demonstrable knowledge and/or experience of T&C regime and implementation

Extensive experience of working with Microsoft Office products including Word, Excel, Outlook and PowerPoint

Experience of delivering accurate and relevant information in an appropriate and timely manner

Experience of the Enable back office system

Experience of cashflow modelling

What next?

If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career

Reference: 33805013

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