T&C Supervisor

4 weeks ago

Birmingham, United Kingdom BWD Search & Selection Full time

T&C Supervisor/Auditor


We are seeking an experienced T&C Supervisor/Auditor to join our team and play a critical role in ensuring that our network of advisers meets the highest regulatory and professional standards. This is an exciting opportunity to contribute to the success of our firm by supporting and supervising financial advisers, while maintaining a strong focus on compliance and risk management.


Key Responsibilities:


  • Supervise advisers in accordance with the company’s T&C Scheme, conducting one-to-one meetings and documenting outcomes.
  • Set and monitor actions to address identified risks, ensuring compliance with the T&C Scheme, and tracking progress.
  • Identify and escalate risks that cannot be managed through standard processes to senior management.
  • Conduct assessments for advisers applying to join the network, in line with company protocols.
  • Provide support for new advisers and staff joining the network to ensure smooth integration.
  • Undertake audits of AR firms’ systems and controls, ensuring adherence to company policies.
  • Respond to AR firm queries in a timely and accurate manner, providing appropriate guidance when needed.
  • Support additional induction, monitoring, investigatory, and exit/termination work as directed by senior management.
  • Build and maintain positive, professional relationships with AR firms, ensuring a cohesive and consistent service.
  • Stay up-to-date with industry standards and maintain your own competence through personal development, in line with company policies.
  • Embed and endorse Treating Customers Fairly (TCF) principles within your role and adhere to Consumer Duty obligations.


Key Competencies and Qualifications:


  • Essential: Diploma in Financial Planning (or equivalent level 4 qualification). CeMAP or MAQ (CF6) and H15 or J07 are desirable, but we are open to candidates who are prepared to complete these within 12 months of joining.
  • Experience: Minimum 2 years' experience in financial services. Experience providing feedback to financial advisers
  • Skills: Excellent communication, problem-solving, decision-making, time management, and people management skills. Strong understanding of regulatory requirements and compliance standards is essential.


Key Regulatory Requirements:


  • You must act with integrity, skill, care, and diligence.
  • Be open and cooperative with regulatory bodies such as the FCA and PRA.
  • Always treat customers fairly and uphold high standards of market conduct.

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