T&C Supervisor; Wealth Management

Location:

Predominantly Home Based but with 4-5 days a month in either Bath or London What’s in it for you?

You’ll get the opportunity to not only oversee T&C but also to help shape the development of the firm’s T&C strategy and operations to support the ongoing growth of the business. This is not your average T&C role.

You’ll also be joining a wealth management firm that’s growing quickly but sustainably. This growth is likely to create opportunities for your further career progression.

You can work predominantly from home but will spend 4 or 5 days a month in either the Bath or London office.

And if that’s not enough, you’d be the natural successor for the T&C Manager and so there's plenty of scope for your own career development.

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 timeframe.

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

You’ll will 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’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.