We are recruiting for a T&C Supervisor who wants to join a successful IFA business. The main role of the T&C Supervisor is to supervise a team of Financial Advisers, Paraplanners and Investment Managers. In addition there are a number of specific tasks that the supervisor will be responsible for and reporting directly to the Compliance Director.
- Supervising a team of Financial Advisers, Paraplanners and Investment Managers
- Providing ongoing training for a team of Financial Advisers, Paaraplanners and Investment Managers.
- Prepare internal reports for management meetings
- Review and update compliance policies including those relating to T&C
- Review and Update TCF procedures/policies
- Review the compliance requirements relating to the investment committee.
- Making sure relevant CPD is maintained and recorded accurately
- Maintaining all standards of performance as required by the firm
- Obtaining and maintaining the level of competence as required by the firm
- Making sure all clients are contacted in accordance with the agreed level of services offered
- Making sure clients receive relevant documentation in a timely way
- Level 4 qualified (DipPFS) with experience in a compliance role supervising a team of advisers, paraplanners and investment managers.
- You will have a full understanding of the investment advisory sales process and are able to manage all aspects of the T&C scheme.
- Salary of £45,000 – £55,000 + Enhanced Pension and DIS
Please note that we expect a high response to this position if you have not had a response within the next 3 days please assume that on this occasion you have been unsuccessful.