T & C Supervisor
Leading Financial Advisory businesses with offices in London (Essex) and the South West seek an experienced T&C Supervisor to support the line management of Financial Planners and AR's across the business.
* 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
* Report the findings from all monitoring, observations to make suitable and agreed recommendations for remedial work and follow-up on delivery to reduce areas of regulatory risk
* To report material breaches to the Head of Group Risk immediately
* Agree training plans with relevant staff across the business
* Identify any changes required to administrative and business process matters arising from Business policy decisions, initiatives and regulatory requirements
* Monitoring of transactions undertaken by all business areas, particularly in relation to ongoing service delivery, client files, KPI reviews, client meeting observations, etc. to agreed business benchmarks and in adherence to Regulatory best practice.
Frequent travel will be required between the Company's offices and other locations where advisers are based, with the possibility of some overnight stays
* 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
Skills & Qualifications:
* Qualified to DipPFS or equivalent
* Good working knowledge of FCA Principles and Rules
* Strong interpersonal, communication and customer service skills
* Excellent accuracy and attention to detail
* Proven ability to work on own initiative and good organisation skills
* Excellent research and report writing skills.
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.