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- Tasks: Lead compliance efforts and oversee training for a dynamic wealth management team.
- Company: Join a growing IFA & Wealth Manager known for its fun, collaborative culture.
- Benefits: Enjoy a competitive salary up to £60k plus bonuses and a hybrid work model.
- Why this job: Make a real impact by ensuring ethical standards and supporting your team's growth.
- Qualifications: Experience in compliance and knowledge of FCA regulations are essential.
- Other info: This role offers a unique opportunity to work closely with regulators and enhance your career.
The predicted salary is between 36000 - 60000 £ per year.
T&C Supervisor: Basic To £60k + Package & Bonuses, working for a Dynamic IFA & Wealth Manager, Hybrid role Working for a growing & dynamic wealth management firm you will be responsible for ensuring that the firm operate within the guidelines of the Financial Conduct Authority by implementing and overseeing company compliance policies and procedures. The firm promote a fun and collaborative environment, where the whole team really enjoy working together. The T&C Supervisor role will require you to coordinate the training & competence requirements of the staff and organize training where required to ensure that the team are monitored and supported in their roles. Key Responsibilities of the T&C Supervisor role: Compliance Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules and Statements of Principle & Code of Practice and any relevant correspondence from the FCA at all times Dealing with the regulator in an open and cooperative way when required and disclosing anything relating to the firm of which the FCA would reasonably expect notice. Making sure appropriate ethical standards exist within the firm at all times Keeping up to date with relevant regulatory, product, legislative, technical requirements Making sure appropriate systems and controls are in place covering all…
T&C Supervisor employer: Resource Matters Ltd
Contact Detail:
Resource Matters Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land T&C Supervisor
✨Tip Number 1
Familiarize yourself with the Financial Conduct Authority's guidelines and regulations. Understanding these will not only help you in the interview but also demonstrate your commitment to compliance, which is crucial for the T&C Supervisor role.
✨Tip Number 2
Network with professionals in the wealth management sector. Engaging with others in the industry can provide insights into the company culture and expectations, making you a more informed candidate.
✨Tip Number 3
Prepare to discuss your experience in training and competence frameworks. Highlight specific examples where you've successfully implemented training programs or improved compliance processes in previous roles.
✨Tip Number 4
Showcase your ability to work collaboratively in a team environment. Since the firm promotes a fun and collaborative atmosphere, be ready to share experiences that reflect your teamwork skills and how you contribute to a positive workplace.
We think you need these skills to ace T&C Supervisor
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the T&C Supervisor position. Understand the key responsibilities and required qualifications, as this will help you tailor your application effectively.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance, training, and competence within the financial services sector. Use specific examples that demonstrate your ability to implement and oversee compliance policies.
Showcase Your Knowledge of Regulations: Make sure to mention your familiarity with the Financial Conduct Authority's guidelines and any relevant legislation. This shows that you are well-prepared for the responsibilities of the role.
Express Your Team Spirit: Since the firm promotes a fun and collaborative environment, convey your enthusiasm for teamwork in your application. Share experiences where you successfully worked with others to achieve common goals.
How to prepare for a job interview at Resource Matters Ltd
✨Understand Compliance Regulations
Make sure you have a solid grasp of the Financial Services and Markets Act 2000 and the FCA’s Conduct rules. Be prepared to discuss how you would ensure compliance within the firm and any relevant experiences you've had in similar roles.
✨Showcase Your Training Coordination Skills
Since the role involves coordinating training and competence requirements, think of examples where you've successfully organized training sessions or supported team members in their development. Highlight your ability to foster a collaborative environment.
✨Demonstrate Ethical Standards
Be ready to talk about how you maintain ethical standards in your work. Share specific instances where you ensured compliance with ethical guidelines and how you would promote these standards within the team.
✨Prepare for Regulatory Discussions
The role requires dealing with regulators, so prepare for questions on how you would handle such interactions. Think about your approach to transparency and cooperation with regulatory bodies, and be ready to provide examples from your past experiences.
