Our client, the Financial Planning arm of a top 10 international Chartered Accountancy Practice are currently looking to recruit an experienced T&C Supervisor to assist the Compliance Director in the implementation and monitoring of the Training and Competence ( T & C) scheme .
The business have Advisers across the UK although the majority are in London and the Midlands. The role will involve travelling to meet the Advisers on a regular basis and so there is no requirement for the candidate to be office based.
- Assisting the Compliance Director in providing T & C support
- Ensuring that the business meet their FCA responsibilities with regard to T & C
- Acting as a T & C Supervisor
- To provide coaching, feedback and training to advisers
- to support advisers in achieving and maintaining competent status
- Ensure Advisors obtain and renew their SPS as required to give advice to clients
- Regular liaison with other T & C supervisors to ensure their compliance with the scheme
- Implementing changes/updates to the scheme when required
- Monitoring Advisors ongoing compliance with the scheme and "fit and proper " rules
- Collecting, analysing and recording Key Performance Indicator information as required by the scheme
- Reporting via the Compliance Director to the Board on all aspects of the scheme
- Maintaining the T & C records as required by the FCA
- Responsible for recruitment administration for all new Advisors to ensure meet FCA "fit and proper" requirements
Key Skills & Qualifications
- CII Financial Planning Certificate or Diploma Qualified, desire to achieve CII Chartered status
- Previous experience as a T & C Supervisor within an Independent Financial Advisor
- Good coaching, mentoring and feedback skills
- Practical Compliance experience within the financial services sector preferably with an Independent Financial Adviser
- Extensive knowledge of the FCA rule book and its practical application, particularly with regard to T & C
- Good understanding of financial advice process and the FCA record keeping requirements
Candidates will receive a competitive basic salary as well as an excellent benefits package and full support towards further qualifications.