Negotiable
Overview
To lead the TandC function while supporting the line management of Financial Planners, Mortgage Advisers, Employee Benefit Consultants, including Appointed Representatives (advisers), within the Group to deliver training and monitor competency in line with FCA regulations and the company’s TandC Scheme.Key Responsibilities
Ensure internal policies and FCA regulatory requirements are adhered to across the Group.Adhere to Company TandC Scheme.Management of TandC Supervisors, ensuring the Group complies with the best business practices and regulatory requirements.Oversee the TandC of regulated and other individuals within the Group, ensuring compliance with business practices and regulatory requirements.Work with Compliance, Business Quality, Regional Sales Directors, HR, and other departments to ensure consistent training and monitoring of the advice process.Maintain, update, and review TandC records and processes to ensure accuracy and compliance.Support line management in supervising Financial Planners, Mortgage Advisers, and Corporate Financial Planners through observed meetings, 1-2-1 development sessions, coaching, and feedback.Agree on, implement and deliver training plans for advisers across the Group, and deliver and/or arrange training sessions in both group settings and individually.Experience and Qualifications
Minimum level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)Working knowledge of FCA Principles and Rules.Good working knowledge of Microsoft Office products including Word, Excel, Outlook and PowerPoint.Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry.Seniority level
Not ApplicableEmployment type
Full-timeJob function
FinanceIndustries
Investment ..... full job details .....