T&C Manager - National IFA Firm

SLM Search & Selection
12 Feb 2017
12 Mar 2017
Contract Type
Full Time

SLM Search and Selection are currently working on behalf of an independent and entirely employee-owned financial services organisation that offer a unique combination of actuarial, pensions consultancy, administration and investment services.

They are looking for a competent T&C Adviser to help ensure that the CF30s, Consultants and Paraplanners are provided with professional training and competency guidance to help support both their individual development as well as the growth plans of the company.

Key Responsibilities:

Ensure that the T&C Scheme is successfully developed and operating through the company

Design, implement and undertake annual reviews of the firm's T&C policy to ensure its effectiveness and meeting of all regulatory requirements

Contribute to the production and implementation of the T&C scheme and compliance plans in a timely manner

Ensure that all new Consultants who require FCA status approval satisfy initial T&C assessment

Establish that all activities carried out by new Consultants during their pre-authorisation period is supervised and in line with T&C requirements

Observe Managers and Consultants undertaking their daily responsibilities to ensure they meet requisite competence

Validate any CPD activity undertaken by the Manager, Consultant or Paraplanner on the system

Assess, priortise and document the major T&C risks of the company on a quarterly basis

Provide appropriate coaching and feedback to Managers, Consultants and Paraplanners based on learning needs identified

Report instances of non-compliance and risk to the Head of Compliance

Key Experience/Skills:

Minimum of Level 4 Diploma Qualified ideally working towards Chartered

Proven experience of T&C within a financial services environment

Prolific working knowledge of the FCA, TC and FIT regulations

Ability to supervise and communicate well at all levels