Part-time T&C Supervisor

What’s in it for you?

A predominantly remote role with real flexibility. You can structure your working day around any family commitments etc. We’re also flexible around number of days / hours you work per week. 3 or 4 days work for us, whatever works best for you. You’ll be joining a wealth management firm that’s growing quickly but sustainably. This growth is already creating opportunities for further career progression.

What you’ll be doing

• 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.
• Although predominantly home-based, you will need to occasionally provide in-person induction training to new Advisors at either the firm’s Bath or London offices (whichever works best for you). All costs for travel and any accommodation (if required) would be fully expensed.

What we’re looking for

• 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 must have experience of conducting observations of Financial Advisors.
• 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.
• Any previous experience as a Financial Advisor would be of interest but is certainly not essential.

Interested?

If so, click apply and send over your CV. Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on [contact hidden] for a confidential discussion or email me at [Employer hidden — sign up to reveal] letting me know that you’re interested. We’ll pick it up from there.

Company: [Employer hidden — sign up to reveal]
Location: United Kingdom
Workplace: Remote Working
Salary: To £62k FTE
Reference: 415247a

To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to [Employer hidden — sign up to reveal] quoting reference 415247a.