T&C Supervisor

Job title: T&C Supervisor
Location: Rayleigh, Essex
Industry: Financial Services
Salary: £45,000 - £55,000
Reference: 1324
Contact name: Jodie Murray
Contact email: Jodie@teamboxtree.co.uk

Job description

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.

 

Responsibilities:

  • 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

 

Required:

  • 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.

Company Benefits

  • 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.

Boxtree are very serious about how we regulate and control personal data of our candidates. Please note that by applying for this vacancy you provide Boxtree with your explicit consent to process your personal information which we will re-qualify by contacting you. A copy of our privacy policy outlining how we use and store your personal data is available to view on our website. You can request to be ‘forgotten’ by emailing Lacee Watts please see email via our website).

 

 

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