We ae recruiting for a Level 4 Diploma qualified T&C Supervisor for a highly regarded Chartered Independent Financial Planning firm.
This role is responsible for the supervision of financial advisors, working alongside the other T&C supervisors and the wider T&C function, contributing to the progressive development of T&C across the firm.
The role focuses on primarily on adviser supervision and a range of other compliance duties as required.
Adviser Supervision Provide ongoing assessment of adviser competence in line with the T&C requirements Conduct adviser risk assessments, typically twice per year, and ensure that the level and frequency of supervision touch points reflect the level of risk identified Conduct one-to-one meetings with advisers in accordance with the adviser's risk profile Agree, record and progress development plans with advisers Oversee and conduct observed visits across all advice areas, ensuring competence in all areas, determining the suitability of the advice given and highlighting areas for development (these may be carried out via Zoom or equivalent virtual environment or face-to-face) Be a key point of contact for advisers requiring support in how they deliver advice Review and address any issues around CPD activity and record keeping with the relevant individual, highlighting concerns to your line manager and/or Risk & Audit team where appropriate Ensure advisers have a valid Statement of Professional Standing in place Conduct Fit & Proper assessments for each adviser Certificate advisers at least annually, amending certification as and when required either by adding, restricting or withdrawing authorisation e.g.
when competency has been achieved or non-competence has been identified Maintain appropriate records in relation to T&C supervision Identify and communicate risks in relation to these activities to the wider team Monitor and encourage adviser completion of periodic suitability reviews, reporting to the Chief Operations Officer where an issue has been identified This role is to be based in London with hybrid flexibility (2-3 days in the office required).
For the right person there is a clear progression path to lead the T&C team in the near future.