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T&C Supervisor (Flexible working)

  • Location

    Birmingham

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    c. £45,000 + Benefits

  • Consultant:

    Paul Clayton

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/16892(B)

  • Published:

    23 days ago

The role will involve assisting the Head of T&C to roll out the company T&C scheme.

Key responsibilities include:

  • Supervise advisers in line with the company T&C Scheme. Including the undertaking and documentation of one to one meeting with advisers, as allocated to you by the Head of T&C.
  • Set actions for advisers / other AR Firm staff to address risks identified through one to one meetings or separately, and track progress with actions set. Actions should be set in line with the company T&C Scheme.
  • Identify any risks the company is exposed to which you do not feel can be adequately managed through standard processes and escalate these to the senior management team.
  • Carry out assessments on advisers applying to join the business, in line with company processes.
  • Undertake AR firm audits to assess firms’ systems and controls, in line with company processes, as allocated to you by the Head of T&C.
  • Answer queries received from AR firms within reasonable timescales and accurately, seeking guidance to assist where appropriate. 
  • Perform additional induction, monitoring, investigatory, remedial and exit/termination work as requested by senior management.
  • Understand, embed and endorse TCF principles within your role.
  • Maintain your own competence within your role by maintaining and developing your skills and knowledge via appropriate personal development activity. This should be in line with the T&C Scheme and to cover areas requested by senior management.

The Person:

  • CII Diploma in Financial Planning (Level 4) qualified or equivalent
  • Strong T&C experience within a wealth management business