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T&C Supervisor

  • Reading
  • Permanent
  • £55,000 - £65,000 + Bonus & Benefits

Job details.

Our client is one of the UKs largest and most successful Financial Planning & Investment Management organisations. They are an award-winning business who have an exceptional reputation, they are currently seeking to recruit a T&C Supervisor to assist the Compliance Director in the implementation and monitoring of the Training and Competence (T & C) scheme.

Candidates must be Diploma Qualified and have experience in a T&C role. Ideally you will have experience supervising Financial Planners who deal with all areas of Advice (Pensions, Investments, Protection etc).

Key Responsibilities:

  • Provide attaining and maintaining competence first line Supervision for a defined group of individuals those performing an FCA activity within the company by:
    • Delivering new entrant training and other training interventions as required.
    • Creating technical or skills based assessments along with supporting documentation.
    • Providing feedback and coaching in relation to the outcome of role-plays and client visits/recordings.
    • Providing feedback and coaching (on a 1:1 or group basis) in relation to learning needs identified from appropriate T&C Management Information.
  • Assist in the development, support and maintenance of all firm T&C schemes and its documentation, including the policy and various electronic systems.
  • Ensure appropriate stakeholders have access to accurate Key Performance Indicators to demonstrate the necessary systems and controls are working appropriately and risks are managed in relation to T&C and the wider Human Resources team.
  • Provide guidance and appropriate support for the delivery of Professional Qualifications within regulatory roles.
  • Maintain close working relationships across the business and its management teams, with the ability to give Learning & Development support to non-regulatory roles if required.

Skills and Qualifications:

  • Have an understanding of both Financial Planning and Investment Management.
  • Ability to demonstrate a thorough knowledge and understanding of FCA T&C regulations.
  • Qualified to at least QCF Level 4 with progression towards Chartered Financial Planner status (degree level) desirable.
  • Previously held or undertaken T&C scheme responsibilities.
  • A working knowledge of Learning Management Systems and Microsoft applications.
  • A high level of written and verbal communication skills, with the ability to influence at a high level and have gravitas.
  • Ability to prioritise workloads and to balance the needs of the business against the regulatory requirements.
  • Ability to work effectively as part of a team.
  • Good judgement and decision making skills.
  • Excellent organisation and attention to detail.
  • A customer focused approach with a willingness to succeed

Our client is offering a competitive basic salary plus bonus and an excellent benefits package. They also value work/life balance and are happy to offer hybrid working which is split between office & home.

Sector:

  1. Financial Services
  2. Financial Planning

Thomas Williams

Director - Financial Services

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