T&C Supervisor (Financial Planning)
Home-based (North West)
Up to £45,000 + benefits
I am delighted to work alongside a robust and professional financial services network seeking an experienced T&C Supervisor to join their team due to growth, with further expansion plans in place too. This represents a fantastic opportunity to make a positive difference and contribute to excellent, FCA compliant service to be provided to Financial Advice clients. The position also offers a great deal of variety given the work involved will be with a portfolio of financial planning practices with diverse clientele within in the network.
The key duties and responsibilities associated with the position include:
* Supervise Financial Planners in accordance with the company and FCA T&C requirements
* Assess, address and manage risk exposure for the Financial Planners as well as the network
* Adviser Assessments and 1-to-1s
* Undertake firm audits to assess systems and controls
* Perform induction, monitoring, investigations, remedial actions
* Endorse and embed and advocate TCF principles within the network
The successful candidate will maintain positive professional and effective relationships with both Advisers and colleagues, therefore, excellent communication skills are important. Approaching work with integrity, due skill, care and diligence are key to this organisation also. Diploma in Regulated Financial Planning is a minimum qualification for your application to be considered, and if you have not already obtained you will be open to study for J07 (Supervision in Regulated Environment).
If you are interested in applying for this position or similar roles, or indeed just require a confidential conversation about your next career move, please contact Antonia Mihaylova at Search Financial Services on 07580 429 541 or simply send your details to firstname.lastname@example.org. All enquiries and correspondence will be treated in the strictest confidence.
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.