We are working closely with a large Wealth Management firm who are looking to take on a T&C supervisor to support the South West Region.
Your main focus will be to ensure the competent supervision, training and development of the members, financial planners and portfolio managers.
You will hold the level 4 diploma, have a clear understanding of current regulation and regulatory requirements with previous experience within a compliance role.
Other duties will include but not be limited to:
- The requirements of the T&C scheme are fulfilled across the business
- Appropriate systems and controls are in place within the Adviser firms necessary to maintain compliance standards
- Assess the technical knowledge and skills of the financial advisers, the quality of advice given and the overall adherence to the Treating Customer Fairly (TCF) principles
- Promote skills and knowledge within our firms and advisers to facilitate positive consumer outcomes
- Ensure that the level of monitoring of firms and advisers that is conducted is within the Company requirements and risk-rated approach to ensure positive consumer outcomes
- Ensure any issues or risks are identified and mitigated in the most appropriate way
For more information on this role please contact Louise Bibb on 0117-917-0416. Quote reference 13557