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T&C Supervisor

  • Location

    Leeds

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    c. £40,000 + benefits

  • Consultant:

    Paul Sherlock

  • Email:

    psherlock@merje.com

  • Job ref:

    PS/14818

  • Published:

    19 days ago

Our client is a leading Legal & Financial Services business who are looking to recruit a Training & Competency Supervisor. Reporting to the Head of Risk & Compliance the focus of the role is to provide ongoing T&C supervision, as defined by the FCA within an established framework. The job holder will support adviser oversight, training and development, as a second line of defence activity, in conjunction with the first line of defence line management.

This Client does not provide sponsorship.

The Role:

  • Work with the Head of Compliance and Risk to maintain and develop the firm’s T&C Scheme to ensure it meets regulatory requirements and best practice.
  • To develop the T&C scheme across all roles within the business, including those not subject to the formal FCA TC rules.
  • Be responsible for the development of file completion standards by working with advisers and paraplanners to achieve mandatory and best practice standards, ensuring that the client file supports the suitability of the advice provided, and escalating concerns where this may not be evident
  • Build effective collaborative working relationships with advisers and paraplanners to deliver agreed goals in terms of appropriate customer outcomes.
  • Complete additional core activities of T&C including observations of advisers in training, training and development needs analysis and planning in association with the heads of business development.
  • Working with the Head of Compliance and Risk, develop a Board training programme for the non-executive directors to ensure that their ongoing CPD needs are met.
  • Identifying  appropriate  training  provision  through  organising  external delivery  and  by designing and delivering in house training where appropriate including induction and ongoing periodic training. Providing feedback to advisers, paraplanners and senior management on all aspects of T&C supervision in first and second line of defence activities.
  • Driving improvements in standards and acting as champion for T&C and the benefits to employees and the business. This will include periodic presentations to management and staff on the operation of the Scheme.
  • Support  Board  reporting  metrics,  such  as  Key Performance Indicators and  Key  Risk
  • Indicators to cover the functions of first and second line of defence activities in relation to Supervision of advisers, Including file review findings, working with the heads of business development where appropriate. 

 Requirements: 

  • Strong knowledge of  regulatory file  completion standards  and  FCA requirements and experience of working within and implementing these, in particular a specialist Investment/Discretionary Fund Management environment
  • Significant influencing and written/oral communication skills required in relation to staff at all levels across the business, including at Group level.