£50,000 - £55,000 + Benefits
19 days ago
Our client is a national Wealth Manager with a strong reputation for exceptional advisory services. They have become one of the key players in the wealth market and due to continued growth they are currently looking to recruit a T&C Supervisor.
The role will involve assisting the Head of T&C to roll out the company T&C scheme.
- 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.
- You will have previously operated in a T&C management/oversight role within a Wealth/Financial Planning or IFA firm
- A Supervisor Qualification e.g. H15, JO7 preferred
- Excellent verbal and written skills
- Strong attention to detail and inquisitive nature;
- Strong interpersonal skills – engagement with a variety of stakeholders across the business
Demonstrating behaviours which set the culture of the company.