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