How would you like to work for one of the big players in the Financial Services industry? Do you like the sound of walking into a role that will allow you to use the entirety of your T&C knowledge and expertise? What if we said that in this job, in this company, your personal career development will be crucial and will always be a priority?
This role is home based and significant travel will be required as you support Advisers and Financial Planners across the UK.
IF YOU aren’t afraid of a good challenge, and relish taking on the responsibility, this role is most definitely for you.
As part of your role you will:
- Amend, implement and undertake T&C reviews to ensure they meet all requirements and are compliant.
- Deliver regulatory oversight to all parties involved.
- Contribute to the risk assessment process by monitoring all T&Cs risks.
- Prepare annual T&C budgets.
- Ensure all entities that require to be approved by the FCA are fully compliant and satisfy all assessments
- Work closely with Financial Advisers and Planners to support and develop them ensuring all regulatory requirements are adhered to
- Conduct regular observations and provide coaching on a one to one basis
- Analyse Management Information to recognise trends and put plans in place to improve overall performance
- Provide 1 to 1 feedback as well as providing training on a group basis
- Have 3-5 years’ experience in a compliance/T&C position.
- Possess strong analytical skills.
- QCF level 4 qualification in Regulated Financial Advice.
- You'll have supervision experience in high risk areas and be used to working in business areas such as Final Salary / Defined Benefit Pension transfers, Inheritance Tax Planning and Trust cases.
- You'll have comprehensive knowledge of the industry and market, particularly around the FCA and other regulatory legislation.
- You have extensive training and competence experience and a proven track record of coaching and developing Financial Advisers.
- You’re used to managing stakeholders both internal and external and balancing their needs with the needs of the business.
- You are highly self-motivated and driven and use your judgement to ensure the advice is right for our customers and our business.