Compliance & T&C Supervisor

  • Location


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  • Job type:


  • Salary:

    c.£32,500 - £38,000 + benefits

  • Consultant:


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  • Published:

    almost 3 years ago

Our client is a well-respected financial services organisation looking for an individual who will report to the Head of Compliance and Risk and undertake this broad yet rewarding role working as part of a small but dedicated team.

The role:

  • To maintain and embed the groups T&C scheme taking responsibility for ensuring that all aspects of the scheme are adhered to
  • To record and monitor new business submitted by Appointed Representative firms
  • To be responsible for the recording and checking of all Financial promotions and for the handling and monitoring of complaints.

Key Accountabilities-

  • To continuously review the requirements of the T&C scheme and proactively identify opportunities to develop it further
  • To conduct T&C visits across all product areas, determining the suitability of the advice given and highlighting areas for development
  • To act as a referral point for complex files or sensitive issues
  • To identify common themes and risks across the business in terms of development areas or knowledge gaps
  • To facilitate and deliver T&C training for Appointed Representatives and staff
  • To educate the client facing staff in the business on the benefits of a robust T&C Scheme
  • To develop strong working relationships with relevant stakeholders across the business and any relevant third parties
  • To carry out any other duties related to T&C as may reasonably be required
  • To carry out due diligence, compliance checks and for training etc for members
  • To have delegated authority to ensure that the Money Laundering Regulations are complied with and that office staff and advisers receive appropriate training at appropriate intervals.
  • To monitor all promotional material as defined in the FCA rules and to be responsible for the maintenance and revision as required of the Disclosure documents of the Appointed Representative Companies.
  • To administer and record and handle all complaints.
  • To assist in the running of induction courses and other training courses
  • To monitor and report where necessary changes made to the FCA handbook or guidance given by the FCA
  • To review and update the Compliance manual as required
  • To identify any material risks that occurs in the compliance function.  These should be entered onto the Risk Database and appropriately monitored and reviewed

Key Requirements:

  • An experienced financial services professional
  • Previous T&C experience
  • Experience with working with IFAs
  • The role will be a mixture of office and field based work
  • CII / PFS qualification, ideally QCA Level 4 Diploma– Essential
  • Certificate in Mortgage Advice or equivalent – Essential
  • Supervisory qualifications such as H15, J07 or AF6 are desirable
  • Excellent, proven interpersonal, verbal and written communication skills

Salary is entirely commensurate with experience but will reflect the significance of the role