T&C Supervisor
Birmingham
Basic to £35,000 plus full benefits
Main duties and responsibilities
To provide effective monitoring and control in the Company to support the adherence of Financial Advisers and Line Management, while reporting shortcomings through the appropriate reporting lines.
Provide support and training to staff of the Company through analysis of work completed whether this is at an individual, regional or on a national basis. To undertake client file checks, client meeting observations and provide 121 coaching or group presentations on identified or perceived areas of risk and/or weaknesses in knowledge or application skills, or in areas that the individual is developing into.
Undertake various activities and project work as deemed appropriate to the needs of the business.
Complete relevant monitoring activities and to gather sufficient facts and information to be able to make relevant and suitable recommendations that address perceived areas of regulatory risk.
Attend Financial Adviser meetings/conferences/team meetings to exchange views on industry and other relevant issues in line with internal procedures.
Maintain an up to date knowledge of various rule books, regulations and codes relevant to the firm.

Key skills and knowledge
Analytical and problem solving skills
Ability to manage large workload and organise and prioritise time effectively, including attention to detail and the efficient and accurate completion of delegated work
Full FPC; (or equivalent), ideally working towards Diploma Standard or QCA Level 4.
Wide knowledge of industry products and services and the Financial Services marketplace
Knowledge of FSA conduct of business rules
Ability to assess advisers in their competence and skill against set objective criteria
Ability to coach advisers so that their knowledge and skills can be applied in a variety of situations and to enable them to develop personally and professionally
An up to date knowledge of Training and Competency procedures and compliance practices.
 

Contact David Sheddon on 07763 195 069 for further details