T&C Supervisor

5 days ago

London, Greater London, United Kingdom Birchlake Recruitment Full time
About the Role

Birchlake Recruitment is partnering with a leading independent financial advice business to find a highly skilled T&C Supervisor. This is a remote role with occasional travel to the company's Head office, offering a £3,600 car allowance and 5% of base salary as flexible benefits.

Job Purpose

The T&C Supervisor will play a crucial role in facilitating and delivering the company's T&C requirements, as defined by the Financial Conduct Authority (FCA) and the business. Key responsibilities include:

  • Providing effective monitoring and control within the firm to ensure adherence to T&C rules and regulations.
  • Supporting the induction process for new recruits, creating bespoke plans based on their qualifications, expertise, and previous experience.
  • Collating relevant data to provide sales management with accurate and meaningful information on adviser RAG status, including detailed breakdowns of rationale.
  • Supervising amber and red advisers to ensure the business meets its T&C requirements and adheres to T&C rules.
  • Carrying out desk-based supervision of green advisers, liaising with sales management and the QA team as necessary regarding coaching and development.
Requirements

To be successful in this role, you will need:

  • Up-to-date knowledge of various rule books, particularly T&C, regulations, and codes relevant to the firm.
  • A good working knowledge of IO and the application of extraction of MI required to ascertain KPI data, MI reporting on all advisers.
  • An understanding of industry developments and their impact on the business.
  • IT literacy, including all Microsoft Packages.
  • Good interpersonal relationship skills.
  • Positive team working and collaboration.
  • Well-organized, with the ability to work to agreed deadlines.
  • Influencing skills, with the ability to report to other business areas and members, and where necessary, influence behavior and attitudes to improve compliance and business practices.
  • Flexibility and adaptability, with the ability to adapt to changes in the business and its practices, and regulatory and legal amendments.
  • Drive to own development, with a high level of motivation to achieve work tasks and assist with the management of their own development, knowledge, and skills improvement.
  • Attention to detail, with the ability to produce accurate and meaningful data required for RAG reporting and other MI as required by the Risk & Compliance Director.
Qualifications

The ideal candidate will have:

  • A minimum of 6 years' experience within a regulated or financial services environment, particularly in a training and competency environment.
  • Relevant industry qualifications, at least to QCA Level 4 or equivalent, and including H15/J07.
  • CeMAP, G60/AF3 are desirable.
Desirable Skills and Experience

The following skills and experience would be beneficial:

  • Experience of working in a compliance or audit and risk function.
  • Previous experience of reviewing Occupational Pension Transfers or ETV, PIE exercises.
  • Working knowledge of business operations and practices.

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