T&C Supervisor

  • GBP35000 - GBP42000 per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 20 Oct 17 2017-10-20

My client is looking to recruit a Cii Level 4 Training & Competence Supervisor. The role is to effectively assist in delivering the T&C requirements of the Firm. You will be responsible for ensuring the training, competence and professional development of those subject to the FCA's Approved Person Regime (APER) within your span of control, meet regulatory requirements and expectations.

My client, a wealth management consultancy, is looking to recruit a Training & Competence Supervisor. The role is to effectively assist in delivering the T&C requirements of the Firm. You will be responsible for ensuring the training, competence and professional development of those subject to the FCA's Approved Person Regime (APER) within your span of control, meet regulatory requirements and expectations. You will assist in delivering core Training and Development support to advisers and paraplanners based in and around London.

Fundamental:

Your role is to ensure that the company is compliant with both internal and external policies and regulations. You will support Compliance Management and effectively interact with other departments, in particular with the Compliance Team.

Main responsibilities:

* Effectively deliver the T&C requirements of the firm.
* Supervise advisers within your span of control.
* Assess the competence of CF30's.
* Identify knowledge or skills gaps and apply coherent plans to close any gaps identified.
* Develop pre-CAS advisers to full competency.
* Support adviser Induction Training.
* Support IFA's in developing their business goals & objectives.
* Support and deliver aspects of IFA training and development.
* Demonstrate and share knowledge and understanding.
* Maintain accurate records relating to T&C and other matters.
* Support the firms Compliance function.
* Maintain personal knowledge and skills.
* Ensure compliance with related legislation, such as the Data Protection Act, Bribery Act and Money Laundering Regulations.
* Ensure CF30s understand the UK Approved Persons regime and any relevant information is escalated to senior management in a timely fashion.
* Monitor CF30s' performance against agreed Key Performance Indicators and take appropriate action where necessary.
* Maintain complete, up to date records supporting assessment and maintenance of competency, including ensuring SPSs are up to date at all times and required CPD is completed.
* To accompany CF30s in client meetings where appropriate, with clear objectives set and feedback provided specific to the CF30's competency.
* Report regularly to senior management on the competency of the firm's CF30s, including escalating any material issues or breaches in a timely fashion.
* Deliver monthly feedback reports to senior management timeously.
Experience, knowledge and qualifications:

* Experienced Financial Services Professional.
* Previous T&C and Sales Management experience.
* IFA sector experience.
* Qualified to Diploma Level 4 Diploma.
* A relevant industry supervision qualification such as H15, J07 or AF6 would be desirable.
* An accomplished communicator with experience of interacting effectively with both individuals and groups.