|Job Title:||T&C Officer|
|Salary:||£45000 - £60000 per annum, Benefits: competitive package|
|Contact Name:||Monika Carlton|
|Job Published:||January 31, 2017 15:34|
If you want to use your professional experience in a Wealth and Financial Planning business, boast a deep knowledge of Compliance, know T&C schemes and their inner workings like the back of your hand, are comfortable with the idea of travelling for business purposes, this role is most definitely right for you.
The primary focus will be managing the application and development of the T&C schemes to ensure they are effective and meet regulatory requirements.
- Proactively design and recommend solutions to any areas of concern within the T&C Scheme.
- Proactively design, amend, implement, and undertake at least annual reviews of group T&C policies, procedures and documents to ensure that they remain fit for purpose.
- Proactively produce and maintain the T&C Monitoring Programmes.
- Undertake an initial competency assessment of all new Planners/Consultants in line with the T&C Scheme requirements using the initial Competency assessment form and ensure that this is documented in a timely manner.
- Ensure that all new Planners/Consultants who require FCA Approved Person status satisfy the initial T&C Competency Assessment in a timely manner; ensuring that this is documented and signed off ahead of a FCA Approved Person application being submitted.
- Following the initial competency assessment sign-off, ensure that all activities carried out by new Planners/Consultants during their pre-authorisation period is supervised and monitored and in line with the T&C Scheme requirements and ensure that this is documented in a timely manner.
- In line with the T&C Monitoring Programme observe Managers and Planners / Consultants undertaking their day to day activities to ensure they meet the requisite competence requirements as defined in the T&C Scheme.
- Based on learning needs identified through T&C and Compliance monitoring, provide constructive guidance, coaching and feedback to Managers, Planners / Consultants, Paraplanners and Sales Support staff as to what constitutes good practice and competent standards.
- Educate staff on the T&C Scheme, policies, procedures and regulations that impact the business and provide commercial and positive advice in a timely manner.
- Proven experience of T&C within a financial services environment.
- Desired to be studying towards Advanced Diploma in Financial Planning or equivalent.
- Desired previous advising or T&C Supervisory experience.
- Working knowledge of FCA TC and FIT regulations.
- Proven training, coaching, communication, analytical and interpretation skills.
- Ability to communicate at all levels.
- Report writing skills.
- Supervisory skills.
WORD OF WARNING. This role is NOT right for you if:
- You're currently a T&C Officer who is content with an uneventful and monotonous existence.
- You lack interpersonal skills and aren't confident enough to interact with advisers.
- You love 'box ticking' with an ardent passion.
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