Part-time T&C Supervisor

A predominantly remote role with real flexibility. You can structure your working day around any family commitments etc.

We’re also flexible around number of days / hours you work per week. 3 or 4 days work for us, whatever works best for you.

You’ll be joining a wealth management firm that’s growing quickly but sustainably. This growth is already creating opportunities for further career progression.

You’ll oversee the T&C of around 35-40 Financial Advisors, including Appointed Representatives, ensuring compliance with business practices and regulatory requirements.

You’ll identify key areas for development within the advice process and address any knowledge or skill gaps through tailored training.

You’ll also assist in the development of new and trainee advisors to ensure they achieve full CAS status within a reasonable time‑frame.

In addition, you’ll identify any changes required to administrative and business processes due to policy decisions, initiatives or regulatory changes.

Although predominantly home‑based, you will need to occasionally provide in‑person induction training to new Advisors at either the firm’s Bath or London offices (whichever works best for you). All costs for travel and any accommodation (if required) would be fully expensed.

You’ll have strong T&C experience within a wealth management (financial planning and advice) environment. This may have been gained in a dedicated T&C role or as part of a wider Compliance remit.

You must have experience of conducting observations of Financial Advisors.

You’ll have a good understanding of the regulatory environment, including COBS, DISP, COLL and Consumer Duty.

You’ll ideally be qualified to CII Level 4, whilst J07 or H15 qualifications would be advantageous.

Any previous experience as a Financial Advisor would be of interest but is certainly not essential.