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T&C Supervisor

  • Salary: £35000 - £40000 per annum
  • Location: Chelmsford, Essex
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    24 Apr 2018
  • Job reference: 30186

Successful regional firm are searching for a Qualified T&C Supervisor to support the line management of Financial Planners and Appointed Representatives across the group to deliver the T&C requirements as defined by the FCA and the company.

  • Responsible for the ongoing T&C of a number of regulated and other individuals within the group to ensure the highest standard of compliant business practice when discharging the responsibilities of the role
  • Identify key areas for development of individuals within the advice process and take steps to help address any knowledge and skills shortfalls
  • Maintain, update and review T&C records
  • To support line management in the supervision of Financial Planners by satisfactorily completing client file checks, observed meetings, one to one development meetings, provide coaching, feedback and training as appropriate in order to maintain and develop Adviser competence
  • To report material breaches to the Head of Group Risk immediately
  • Agree training plans with relevant staff across the business
  • Identify any changes required to administrative and business process matters arising from business policy decisions, initiatives and regulatory requirements
  • Monitoring of transactions undertaken by all business areas, particularly in relation to ongoing service delivery, client files, KPI reviews, client meeting observations, etc. to agreed business benchmarks and in adherence to regulatory best practice
  • Maintain awareness of regulatory developments which may have an impact on the business, in particular those that may impact on the T&C requirements of the business
  • Comply with compliance procedures, TCF, data protection and FCA regulations at all times to ensure regulatory requirements and company policies are not breached
  • Develop a solid working knowledge of all FCA regulated product ranges, service providers, investment platforms and FCA principles and rules
  • To maintain an up to date knowledge of various rule books, regulations and codes relevant to the company

To be successful you will need:

  • Qualified to DipPFS or equivalent
  • Good working knowledge of FCA principles and rules
  • Strong interpersonal, communication and customer service skills
  • Excellent research and report writing skills
  • Preferably working toward APFS or hold APFS
  • Experience of cashflow modelling
  • Time spent in similar role within financial services industry
  • Demonstrable knowledge and/or experience of T&C regime and implementation

The position is a full time role but will need the successful candidate to have some flexibility with hours to support Financial Planners. You will also have to frequently travel between the offices and other locations where Advisers are based, with the possibility of some overnight stays.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

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