Head of Training & Compliance Supervision

TQR Search and Selection
Stoke Pound
£60,000 per annum
09 Jan 2019
23 Feb 2019
Contract Type
Full Time

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
and groups.

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