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T&C Supervisor - Field based with 1-2 days in Horsham


£40000.00 - £45000.00 per annum

T&C Supervisor - Field based with 1-2 days in Horsham


Alexander Lloyd are currently Recruiting for a Compliance & Training Supervisor within a Sussex based IFA business. You will be Level 4 Diploma qualified (or close to) and have experience of file reviews and face to face checking of advice within a Network environment.

This role is field based (South Coast) with 1-2 days working from the Horsham office.

·Keep up-to-date with regulatory and industry developments
·Maintain a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired time scales
·Monitor AR firms, coaching and mentoring approved persons both remotely and on-site, to ensure compliance with both regulatory rules and Network procedures
·Liaise effectively with senior management in respect of regulatory and Network issues
·Assist the Compliance Director in providing a timely response to requests for information from the FCA
·Assist in making all appropriate notifications to the FCA
·Apply a risk-based and common-sense approach to the compliance monitoring process
·Undertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks
·Undertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly
·Test approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices, and provide relevant feedback and training where necessary
·Test and supervise new joiners to AR firms, ensuring that supervision and formal sign-off procedures are applied as appropriate
·Ensure that financial promotions for member firms are approved in accordance with the FCA rules, whilst aiding firms in interpreting and applying the regulatory guidelines on advertising

Please quote (42992) when calling Alexander Lloyd.

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