There is a fantastic opportunity here for a successful T&C Supervisor to join a well-established Financial Services Practice in a field/remote based role across the region. They are a growing and reputable practice with a great industry name, who focus on providing a highly personalised financial planning and investment management service with the Client at the heart of everything they do.
- Keep up-to-date with regulatory and industry developments
- Maintain a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired timescales
- Monitor AR firms, coaching and mentoring approved persons both remotely and on-site, to ensure compliance with both regulatory rules and Network procedures
- Liaise effectively with senior management in respect of regulatory and Network issues
- Assist the Compliance Director in providing a timely response to requests for information from the FCA
- Assist in making all appropriate notifications to the FCA
- Apply a risk-based and common-sense approach to the compliance monitoring process
- Undertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks
- Undertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly
- Test approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices, and provide relevant feedback and training where necessary
- Test and supervise new joiners to AR firms, ensuring that supervision and formal sign-off procedures are applied as appropriate
- Ensure that financial promotions for member firms are approved in accordance with the FCA rules, whilst aiding firms in interpreting and applying the regulatory guidelines on advertising
What's needed for me to be considered?
In order to be considered for this unique opportunity, candidates need to have -
- Detailed knowledge of FCA rules and their interpretation/application
- Ability to train and motivate others whilst remaining flexible/adaptable
- Highly developed analytical, observational and communication skills
- Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations.
- Experience working within a network of Financial Advisers
- L6 Advanced Diploma working towards Chartered Status (Non Essential)
- J07 Supervision in a Regulated Environment (Non Essential)
Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion, we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.
Additionally, refer a friend or colleague to us and receive a cheque for GBP200 if we assist them in securing a new career.
Independent Financial Adviser, IFA, Financial Planner, Wealth Manager, Financial Planning Manager, Desk Based IFA, T&C, Training & Competency, Sales Manager