Our client, a National Financial Services Organisation are currently looking to recruit an experienced T&C Supervisor to assist the Compliance Director in the implementation and monitoring of the Training and Competence (T & C) scheme. You will be working for the Insurance side of the business and so candidates MUST have previous T&C supervisory experience working alongside Mortgage & Protection Advisers.
The business have offices across the UK but this role will involve travelling to meet the Advisers in the Midlands on a regular basis. The role is field based and Advisers will be based between Nottingham and Northampton.
Key duties and responsibilities will include:
- To effectively deliver key elements of the published T&C framework, in line with the firm's culture, values and risk management approach
- In collaboration with A&R Assurance, conduct competency assessments as and when required, in order to assist advisers in obtaining Competent Adviser Status
- Responsibility for the delivery of key compliance issues that arise from regular KPI reviews
- Responsibility for achieving and maintaining consistent good quality KPI outputs across the adviser force
- To ensure that the firm's T&C records remain actively updated and record keeping is of a high-quality standard
- To maintain personal adherence to the T&C supervisor T&C scheme, demonstrating consistently a positive supervisory risk rating
- To support and deliver aspects of training and development as required including assisting with the delivery of consultant inductions in order to validate initial competency
- To support advisers in developing their knowledge and skills and in the delivery of quality client outcomes
- To work in collaboration with the Group's Risk department, to assess adviser competence and effect solutions to mitigate key compliance risks