T&C SUPERVISOR - LONDON - C60K

My client, a wealth and asset manager and specialist in employee benefits, is looking for an T&C Supervisor to join their London Team. My client have built their Company on integrity and trust, because doing what is right for their clients is best for the business.

This role is responsible for the supervision of a key number of my client's adviser community. The role works alongside the other T&C supervisors and the wider T&C function, contributing to the progressive development of T&C across the firm. The role focuses on primarily on adviser supervision and a range of other compliance duties as required, all in the context of putting the interests of the client first and in accordance with their policy. The accountabilities described below are not exhaustive, the role is intended to change and develop in line with business requirements.

Please note that hybrid working is an option for this role.

Accountabilities:

Build trusted relationships with advisers and other relevant members of the team
Provide ongoing assessment of adviser competence in line with the T&C requirements
Conduct adviser risk assessments
Conduct one-to-one meetings with advisers
Agree, record and progress development plans with advisers
Oversee and conduct observed visits across all advice areas, ensuring competence in all areas, determining the suitability of the advice given and highlighting areas for development (these may be carried out via Zoom or equivalent virtual environment or face-to-face)
Be a key point of contact for advisers requiring support in how they deliver advice within the company framework
Review and address any issues around CPD activity and record keeping with the relevant individual, highlighting concerns to your line manager and/or Risk & Audit team where appropriate
Ensure advisers have a valid Statement of Professional Standing in place and that they renew it in a timely manner
Conduct Fit & Proper assessments for each adviser
Certificate advisers at least annually on or before the due date ensuring that the degree of authorisation and any restrictions, be they permanent or temporary, are communicated to the adviser clearly and in a timely manner
Amend certification as and when required either by adding, restricting or withdrawing authorisation e.g. when competency has been achieved or non-competence has been identified
Maintain appropriate records in relation to T&C supervision, as agreed with the team
Identify and communicate risks in relation to these activities to the wider team
Monitor and encourage adviser completion of periodic suitability reviews, reporting to the Chief Operations Officer where an issue has been identified.

So if you have extensive experience in a similar role and can demonstrate experience across all of the above disciplines in a similar business then this could be role for you.