3 months ago
Job Description: 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.
- CII Diploma in Financial Planning (Level 4) qualified or equivalent
- Strong T&C experience within a wealth management business
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.