Training & Compliance Supervisor - Wealth Management

Oval Recruit
11 May 2017
10 Jun 2017
Contract Type
Full Time

Training & Compliance Supervisor - Wealth Management

£40K + package

Horsham (part office / work for home)

An expanding Financial Services Group who have won multiple industry and service awards are looking to attract a career minded T&C Supervisor to work alongside there Compliance Manager and Director.

The role will involve -

  • Manage 40 registered individuals, managing all aspects of oversight
  • Through onsite and remote training; coach and mentor individuals ensuring they are compliant with all regulatory rules and company procedures
  • Work closely with senior management, raising any regulatory issues.
  • Undertake file reviews and associated appropriate recordings
  • Evaluate product knowledge, selling practices and procedures of individuals and provide training and feedback as required.
  • Test and supervise new joiners
  • Ensure all financial promotions and advertisements are approved within FCA roles.
  • Keep up to date with regulatory and industry developments.

To apply for the position you must have previous T&C experience and be Level 4 qualified. This is a good opportunity to join a growing company, that have a client focussed professional outlook. With future growth planned it should also provide both role and career development opportunities.

For more information please contact Richard Garbett