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T&C Superviser

Closing date
21 Dec 2021

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Contract Type
Full Time
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Adviser onboarding / Compliance / T&C, leading City firm, full-time or part-time, excellent prospects, IFA / financial planning / wealth background strongly preferred - others considered. We are keen to find the right person and happy to consider applicants seeking remote, homebased, hybrid or an office-based role, those seeking to work shorter hours over 5 days or people returning to work.

Is compliance just the perfect job for you? Would you relish taking on an important and busy role that you can really make your own?

Do you have compliance, risk or training experience, or have you worked as a paraplanner, in sales support or an adviser or in another area of financial services?

Do you enjoy working with people, are you confident, and can you work closely on a one-to-one basis with new financial planners whilst they are completing their onboarding journey?

This is a fantastic opportunity to join an extremely successful and established City firm that has a robust compliance and T&C regime supported by its highly capable experts. Whatever stage you are at in your career, this is a role that can grow as you do and could easily take you into other areas of our business. The firm strongly believes in developing it's team members and allowing them to progress within the organisation.

This role will involve working with experienced financial adviser new entrants. They hire financial planners each year, and this role will involve working closely with them as they complete their induction into the Training and Competence Scheme - a process that normally lasts 3-12 months. You will be their point of contact and play a key part in their early success. You'll need to be someone who enjoys building and maintaining relationships, someone who can support and motivate them as well as guide, coach and sign them off when they are ready.

The role reports into the T&C Manager and has elements of onboarding and supervision. Duties will include:
  • Onboarding new advisers and seeing them through the sign-off process.
  • Plan the intake of new recruits and organise and carry out their induction, training, role plays and new joiner paperwork and contracts.
  • Liaise with external providers and internal contacts in compliance, recruitment and other key stakeholders involved in their management.
  • New adviser supervision and 1-2-1s, ensuring all client observations, file checks and KPIs meet the required standards.
  • Maintaining all records, collate feedback and ensure successful outcomes.

Additional Information

Full-time or shorter part-time hours over a five day week, remote, hybrid and office-based working options available.
Essential Skills
  • Ideally, they are looking for someone with a financial services background and experience in supervision, file checking or onboarding. They are also happy to consider those from a paraplanning, support or adviser background and may consider exceptional candidates with other, broader financial services or compliance experience.
  • Excellent people skills.
  • Be confident and good at building and maintaining relationships.
  • Be effective in giving feedback.
  • Have the willingness and ability to see the big picture and apply in different situations.
  • Be highly organised and be able to work to tight deadlines.
  • Progress or holding a financial qualification preferred.
  • Be able to coach and encourage and have a real desire to help people.
  • Share their core values.

Keywords: Paraplanner, sales support, IFA, life company, compliance, risk, T&C, training and competency, level 4, wealth, redress, supervision, file checking, FCA, Diploma, onboarding, new recruits, adviser, planner, financial adviser, remote, hybrid, pensions, life, investments.
About Company
Privately owned Chartered Independent Financial Planning and Wealth Management organisation founded in 2000. With experts in every field, they can cater for every financial need, with global insight and extremely thorough compliance and evaluation of all investment platforms, they look at the whole of the market to provide bespoke advice based on circumstances, goals and objectives. They can offer our services to individuals, corporations and many others.

They are guided by closely held core values which are Independence, Integrity, Excellence, Relationships, Accountability and Enjoyment.
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