Head of T & C Operations
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 OperationsDESCRIPTION
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.