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T&C Supervisor

  • Salary: £38000 - £45000 per annum + Benefits
  • Location: Leeds, West Yorkshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    08 Apr 2020
  • Job reference: 33388

Are you a Training and Competence Consultant in the North of England looking for a new challenge?

Are you looking to work for an award winning national business who looks after their colleagues and strives to be the best?

My client is currently looking for a T&C Consultant to be based from home and report directly into either their Manchester or Leeds office.

You will be working closely with the firms Chartered Financial Advisers, Trainee Advisers and Paraplanners to build the best possible advice service to their clients and you'll look after a team of 20 individuals.

  • Undertaking one on one meetings with the company's Financial Planners following the analysis of KPIs set by Managers and the Head of Compliance
  • Construct an action plan based on the meetings to address any issues in which have arisen and assist in implementing the processes
  • Continue to monitor the action plans moving forwards assisting when required working closely with the businesses Regional Managers and compliance team
  • Produce accurate and detailed reports on the individuals and be able to present these back to the management team with regards to T&C
  • Training and developing Financial Advisers across the business and maintain FCA regulations across the board including Trainee Financial Advisers
  • Identify risks and escalate emerging trends to compliance management team
  • Maintain up to date and accurate knowledge in all regulatory and legislative areas required for file reviews


Qualifications/experience:

  • Experience in a compliance/technical area of an IFA business or similar role
  • Detailed knowledge of regulatory framework required to carry out client file reviews
  • Necessity to hold the Level 4 Diploma in Financial Planning or equivalent with the desire to become chartered
  • Desire to maintain competency in line with legislation and technical changes within the industry
  • Good interpersonal skills and a team player
  • Experience of providing feedback to IFAs in relation to client file quality or T&C issues
  • Good working knowledge of Microsoft Office and Excel

In reward for your efforts you will benefit from a competitive salary of up to £45,000 and full employee benefits package including company pension scheme, death in service and health schemes with flexible working arrangements.

Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

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