About this role
T&C Supervisor based in London, competitive salary, excellent benefits and hybrid working.
Purpose of Role
This role is responsible for the supervision of a key number of Wealth Advisers. 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 Treating Customers Fairly (TCF) Policy.
Adviser Supervision
Lead on the supervision of a proportion of the authorised adviser community, as agreed with the Head of T&C. For the advisers that you supervise this element of the role includes, but is not limited to:
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Build trusted relationships with advisers
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Provide ongoing assessment of adviser competence in line with the T&C requirements
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Conduct adviser risk assessments, typically twice per year, and ensure that the level and frequency of supervision touch points reflect the level of risk identified
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Conduct one-to-one meetings with advisers in accordance with the adviser's risk profile
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Agree, record and progress development plans with advisers
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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
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Be a key point of contact for advisers requiring support in how they deliver advice
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Review and address any issues around CPD activity
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Ensure advisers have a valid Statement of Professional Standing in place and that they renew it in a timely manner
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Conduct Fit & Proper assessments for each adviser
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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
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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
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Maintain appropriate records in relation to T&C supervision, as agreed with the team
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Identify and communicate risks in relation to these activities to the wider team
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Monitor and encourage adviser completion of periodic suitability reviews, reporting to the Chief Operations Officer where an issue has been identified.
Regulatory responsibilities and Continuous Personal Development (CPD)
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Comply with all regulatory rules set out in the FCA Handbook
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Comply with all relevant Policies and Procedures of the firm
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Ensure appropriate ethical standards exist and are upheld
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Be aware of regulatory change as it impacts T&C, ensuring that changes are implemented with support from the Chief Operating Officer and Risk & Audit team
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Ensure that your own annual CPD meets development needs and the minimum requirements set out by your Recognised Professional Body and the FCA, recording on the firms' CPD platform of choice (currently ThreeSixty)
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Contract Type
Permanent
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Specialism
Accountancy & Finance
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Working pattern
Full Time
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Job ref
8
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Expiry date
22 December 2024
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Accountancy & Finance
Both focus on numbers, but we understand that Accountancy & Finance are two distinct sectors – each with their own requirements and specialist roles. 
Whether it’s keeping track of cash flow in Accounts or managing assets and liabilities in Finance, we have consultants in each market. They’ll work to secure your perfect role.
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