Location: Manchester City Centre (Office & Home Based)
A T&C Supervisor is required to work for our Client, a prestigious business with offices based in core cities throughout the UK. Offering a genuinely bespoke Wealth Management service to a diverse range of HNW individuals, our Client provide Investment Management, Financial Planning, Lending and Private Banking services.
An exciting opportunity is available for a T&C Supervisor to join their prestigious premises in central Manchester. Initially, you will be expected to work from the office 3 days per week, with an additional 2 days working from home. This will then move to 1 day working from the office, with the rest of the time spent working from home, and visiting other UK sites to carry out T&C tasks.
The main purpose of this role is to support the management of the application and development of the Training and Competency schemes within the Private Banking and Wealth Planning units.
Daily duties will be varied and consist of;
- Maintaining and embedding the T&C scheme within the Private Banking and Wealth Planning units, taking responsibility for ensuring that all aspects of the scheme are adhered to
- Responsible for continuously reviewing the requirements of the T&C scheme and proactively identifying opportunities to develop it further
- Conduct file reviews and observed visits across all product areas, determining the suitability of the advice given and highlighting areas for development.
- To act as a referral point for complex files or sensitive issues
- To identify common themes and risks across the business in terms of development areas or knowledge gaps
- Facilitate and deliver T&C training for the front office.
- Educate the client facing staff in the business on the benefits of a robust T&C Scheme
- Develop strong working relationships with relevant stakeholders across the business and any relevant third parties
- Carry out any other duty related to T&C as may reasonable be required by the Business Assurance - Senior Manager.
- CII / PFS qualification, ideally diploma qualified - Essential
- CeMAP - Preferred, or must be willing to complete qualification early in employment
- CISI / CFA Investment Management qualification
- Proven experience in working as a Document File Reviewer or in a Client Suitability role or similar
- Demonstrable knowledge of suitability, risk profiles and KYC
- Experience of dealing with highly confidential information
Candidates applying for the role will be highly professional and very strong communicators. The ability to work as part of a professional team is essential, as is previous experience working as part of a Financial Planning team. First class IT skills are also required.