As a Senior T&C Supervisor you would be deputise for the Head of department as required. The person in this role is likely to supervise more experienced advisers or/and advisers from acquisitions of recently acquired businesses who have previously been directors/vendors of their own businesses.
The role will involve:
• To effectively deliver key elements of the published T&C framework, in line with the firm’s culture, values and risk management approach
• To assist the Head of L&D with adviser inductions in order to identify satisfactory initial competency
• To conduct competency assessments as and when required, in collaboration with the Advice & Regulatory Assurance department, in order to assist advisers in obtaining Competent Adviser Status
• Responsible for the delivery of key compliance issues that arise from regular KPI reviews, achieving and maintaining consistent good quality KPI outputs across the adviser force
• Requirement to maintain CF30 status in order to perform constant supervision functions
• To ensure that the firm’s T&C system remains actively updated and record keeping is of a high-quality standard
• To maintain personal adherence to the T&C supervisor T&C scheme, demonstrating consistently a good supervisory risk rating
• To act as the senior T&C Supervisor in developing and supporting the departmental processes, procedures and cultural alignment.
• The Senior T&C Supervisor role is field-based and will be subject to an assigned span of control, although there is a greater expectancy to attend Head Office as and when required due to the senior nature of the role.
• There will be an expectation that all supervisors will be willing to travel nationwide albeit adviser assignments are likely to be based on geographical location of supervisors where it is reasonable to do so.
• As a Senior T&C Supervisor, the incumbent is likely to look after advisers that are more established including those that have been directors or owners of acquired businesses.
• Daily reporting of activity will be a requirement within the role
Key Requirements:
• Experience of the IFA sector covering both employed and self-employed advisers.
• Qualified to at least QCA Level 4 Diploma