Head of T & C Operations

Resource Matters
04 Jan 2019
01 Feb 2019
Job Type
Contract Type

Our Client was founded in 1990 with more than GBP5 billion in assets under management, currently has around 250 independent financial advisers who provide financial planning-led wealth management advice. They are currently looking for a Head of T & C Operations


Key duties and responsibilities will include:

  • To effectively deliver the T&C requirements of all regulated entities within the Group in line with the documented T&C frameworks
  • To ensure that across the T&C supervision team, individuals are actively use negative trends identified by the Risk team to develop individuals and improve periodic MI
  • To ensure that sufficient resource is in place to satisfy the span of control requirements across the Group
  • To instil a high-quality communication strategy adopted by T&C supervisors in their dealings with vendors, advisers and other departments across the Group
  • To ensure that the whole team had a detailed understanding of advice guidance, strategic propositions, firm systems and controls and business processes to work towards becoming a possible point of contact for all key stakeholders
  • To demonstrate a high degree of technical and regulatory knowledge and market awareness across the T&C supervision team.
  • To assist with the recruitment and interviewing of Consultants, if required
  • Using the designated framework, ensure that once gaps in adviser knowledge have been identified, in partnership with Group Training, co-ordinate all Consultant training and development to ensure that these gaps are filled
  • To ensure that all decisions that are made by team members considers the commercial impact on the Firm and the personal impact on the adviser

Experience, knowledge and qualifications:

  • Experienced Financial Services Professional.
  • Previous T&C and Sales Management experience.
  • Ideally IFA sector experience.
  • Qualified to at least QCA Level 4 Diploma standard.
  • Hold 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.