Head of Training & Compliance Supervision
A wonderful opportunity has arisen to join a forward thinking, rapidly expanding company who need additional expertise as they embark on the next phase of growth.
In addition to the role specification below , there will be further opportunities to manage elements of the operations and contribute to the senior management team in this crucial role.
8 T and C supervisors will report to you and provisionally another 4 support staff.
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
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 using 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
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