T&C Supervisor & Head of Paraplanning
Guildford, UK.
OVERVIEW:
The Company offers a range of services, including private client financial planning, investment management, and services for professional intermediaries.
Whether you have achieved all that you set out to do or still have work to do, we offer a service that places you at the centre of a circle of professional advice dedicated to making your wealth work for you. We are now actively recruiting for a T&C Supervisor for our Guildford office.
COMPANY INFORMATION:
This specialist financial advice practice is regarded as an elite business by their peers and has flourished through their long-term relationships with their clients. As Chartered Financial Planners, they provide appropriate, in-depth financial planning solutions
JOB DESCRIPTION:
· Regularly review the relevant individuals' client files as required by the firm's relevant procedures.
· Ensure that advisors attain and maintain competency, identify conduct risks and deliver training where appropriate.
· Ensure any approved persons are approved by the FCA before undertaking the role and that all retail investment advisers (RIAs) have obtained a relevant statement of professional standing (SPS) before providing advice to clients and on an ongoing basis.
· Ensure that all approved persons are subject to the necessary levels of supervision outlined in the firm's relevant procedures.
· Ensure all advisers, investment managers and new business administrators are aware of any relevant guidance in the areas in which they work and have received appropriate training on any new markets or products in which the firm is involved.
· Ensure that adequate records are being maintained as the firm's supervisor.
· Ensure the firm advice provided by the firm representatives is in line with the regulatory guidance.
· Ensure that all approved persons are subject to the necessary levels of supervision outlined in the firm's relevant procedures.
· Ensure that any non-advising approved person is competent for the role they undertake, by formally reviewing this on an annual basis in line with the T&C requirements.
· Ensure that any advising principal has maintained a relevant and adequate record of CPD and KPIs by formally reviewing this on at least an annual basis.
REQUIREMENTS:
· Minimum Level 4 qualifications obtained in financial planning/ financial advice area.
· Excellent knowledge of products offered as part of advice process, including insurance products, pensions, OEICs/Unit Trusts.
· Experience working as a T&C Supervisor within an advisory firm
LOOKING FOR:
· Broad base of knowledge in wealth management.
· Specific understanding and knowledge of relevant FCA rules and guidance including conduct of business as well as IDD, MiFID2 and SYSC.
· Good understanding of other relevant legislation, including that related to providing financial advice in the UK and MiFID2 markets.
ADDITIONAL SKILLS:
· Excellent written and spoken communication skills.
· Attention to detail.
· Confidence and assertiveness.
· Can-do attitude.
· Platform exposure would be an advantage as well as paraplanning tools