W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9nzxjqzs9qcgcvam9ilwjhbm5lci5qcgcixv0

T&C Supervisor - Wealth

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £50,000 - £55,000 + Benefits

  • Consultant:

    #

  • Email:

    emanson@merje.com

  • Job ref:

    EM/16818

  • Published:

    5 months ago

Client

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.

 

Key Responsibilities

 

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.

The Person

  • 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.