T&C Supervisor
Wealth Management
Location: Remote (UK)
Salary: To £60k + bonus + benefits
What’s in it for you?
A fully remote role with real flexibility. You can work from anywhere in the UK and also structure your working day around any family commitments etc.
You’ll get the opportunity to not only oversee T&C but also to help shape the development of the firm’s T&C strategy and operations to support the ongoing growth of the business. This is not your average T&C role.
You’ll also be joining a wealth management firm that’s growing quickly but sustainably. This growth is likely to create opportunities for your further career progression.
And if that’s not enough, you’d be the natural successor for the T&C Manager.
What you’ll be doing
You’ll oversee the T&C of around 35-40 Financial Advisors, including Appointed Representatives, ensuring compliance with business practices and regulatory requirements.
You’ll identify key areas for development within the advice process and address any knowledge or skill gaps through tailored training.
You’ll also assist in the development of new and trainee advisors to ensure they achieve full CAS status within a reasonable timeframe.
In addition, you’ll identify any changes required to administrative and business processes due to policy decisions, initiatives or regulatory changes.
What we’re looking for
You’ll will have strong T&C experience within a wealth management (financial planning and advice) environment. This may have been gained in a dedicated T&C role or as part of a wider Compliance remit.
You’ll have a good understanding of the regulatory environment, including COBS, DISP, COLL and Consumer Duty.
You’ll ideally be qualified to CII Level 4, whilst J07 or H15 qualifications would be advantageous.
Any previous experience as a Financial Advisor would be of interest but is certainly not essential.
Interested?
If so, click apply and send over your CV.
Not got an up to date CV?
Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for a confidential discussion or email me at letting me know that you’re interested. We’ll pick it up from there.