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T&C Supervisor - South/South West (field based) - £45K


T&C Supervisor - South/South West (field based) - £45K


A long establish financial planning and wealth management firm undergoing significant positive change with significant client assets under management The business provides financial planning, wealth advice and investment management services to private individuals, families and trustees. Due to strategic restructure of various functions they have a new requirement for a T&C professional to join the team.

The geographic region you cover will be the South / South West of the UK. As a Training & Competence Supervisor you will play an active role in contributing to the company's aim of providing best-in-class training and development by providing expertise that supports the regulatory Training & Competence scheme for Advisers, Investment Managers and Overseers. You will spend a great deal of your time with individuals to ensure competency standards are maintained to the highest of levels. The role will require regular travel but the business has specifically set up the team to ensure travel in general is kept to reasonable expectation to maximise your time and effectiveness with the individuals you will be working closely with.

Keys responsibilities of the role include:

* 1st Line Supervision for those performing an FCA activity within the firm.
* Deliver new entrant training and training interventions as required.
* Creating technical or skills based assessments along with supporting documentation.
* Provide feedback and coaching in relation to role-plays, client visits and in relation to learning needs highlighted through use of T&C MI.
* Assist in the development, support and maintenance of all firm T&C schemes and its documentation, including the policy and various electronic systems.
* Provide to all relevant stakeholders accurate Key Performance Indicators to demonstrate the necessary systems and controls are effective and risks are managed in relation to T&C and the wider business teams.
* Deliver guidance and enable appropriate support for the attainment of Professional Qualifications across the business.
* Develop excellent working relationships across the business and its management teams,
* Deliver where required L&D support to non-regulatory.

You will be able to demonstrate in depth knowledge and experience of T&C within the FCA regulated financial services sector which will include thorough knowledge and understanding of FCA T&C regulations. You should have achieved at least the QCF Level 4 qualification (e.g. Dip PFS) with progression towards Chartered being viewed as highly desirable. Having already held a T&C role or carried out T&C requirements as part of your previous role you should have a knowledge of Learning Management Systems and Microsoft apps. You will be highly organised with a keen analytical eye and excellent levels of communications in all forms with the ability to influence at a high level. Good judgement and decision making skills are required and a clear understanding of the needs of the business against the regulatory requirements along with a clear customer focus.

This is a great time to be joining the business overall. There has been significant change in terms of growth and that is expected to continue. You will form part of a new team and have ample opportunity to demonstrate your acquired expertise to the benefit of your own further personal professional development and the business as a whole. You will largely be responsible for your own working week with good lines of communication to your Manager and contribute to the effectiveness and reputation of the team over all.

Please quote CGL1609-2 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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