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An award-winning, highly successful, and fast-growing financial advisory practice is looking for a T&C Supervisor to join its team. This role plays a vital part in ensuring adviser competence, regulatory compliance, and continuous professional development.
Key Responsibilities:
- Supervise and assess adviser competence in line with T&C requirements.
- Conduct risk assessments and one-to-one meetings with advisers.
- Oversee observed visits to assess suitability of advice and identify development needs.
- Provide guidance on CPD activities, Fit & Proper assessments, and certification processes.
- Monitor and encourage adviser completion of periodic suitability reviews.
- Support regulatory projects and contribute to the ongoing development of the firm’s T&C framework.
- Assist with training new staff and identifying wider business development needs.
Requirements:
- Strong experience in T&C supervision within a wealth management or financial services environment.
- Deep understanding of FCA regulations and the requirements for adviser competence.
- Excellent communication and relationship-building skills.
- Ability to balance commercial needs with risk management awareness.
- Ideally DipPFS/Level 4 qualified
Benefits:
- Competitive salary up to £60k (flexible based on experience) + discretionary bonus.
- Excellent benefits package.
- Hybrid working - 2 days in the office, flexible arrangements available.
- Opportunity to be part of a dynamic, award-winning financial advisory firm.
A first class opportunity to work for long established and well respected name in the financial advisory sector offering an excellent overall remuneration package along with a positive and highly flexible working environment.
