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T&C Supervisor, home based, salary £45k plus benefits

Skills and Knowledge:


* 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

Qualifications Requirements:


* Minimum of Level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired

General Responsibilities:


* 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

Compliance Monitoring Responsibilities:


* 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

Ad-hoc Responsibilities:


* Take on tasks and projects as delegated by the Compliance Director/Compliance Manager, applying a can-do attitude and a timely approach to work outside that of an individual span of control
* Complete tasks to a high standard, and apply initiative to accommodate for wider issues

Desirable Qualifications and Experience:


* Level 4 Diploma
* J07 Supervision in a Regulated Environment

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.