At a Glance
- Tasks: Oversee T&C for Financial Advisors and ensure compliance with regulations.
- Company: Fast-growing wealth management firm with a focus on sustainable growth.
- Benefits: Work from home, career progression opportunities, and competitive salary.
- Other info: Natural successor for T&C Manager role with excellent career development potential.
- Why this job: Shape T&C strategy and make a real impact in a dynamic environment.
- Qualifications: Strong T&C experience in wealth management and understanding of regulatory frameworks.
The predicted salary is between 44775 - 54725 £ per year.
Location: Predominantly Home Based but with 4-5 days a month in either Bath or London
What’s in it for you?
You’ll get the opportunity to not only oversee T&C but also to help shape the development of the firm’s T&C strategy and operations to support the ongoing growth of the business.
This is not your average T&C role.
You’ll also be joining a wealth management firm that’s growing quickly but sustainably. This growth is likely to create opportunities for your further career progression.
You can work predominantly from home but will spend 4 or 5 days a month in either the Bath or London office.
And if that’s not enough, you’d be the natural successor for the T&C Manager and so there's plenty of scope for your own career development.
What you’ll be doing
You’ll oversee the T&C of around 35-40 Financial Advisors, including Appointed Representatives, ensuring compliance with business practices and regulatory requirements.
You’ll identify key areas for development within the advice process and address any knowledge or skill gaps through tailored training.
You’ll also assist in the development of new and trainee advisors to ensure they achieve full CAS status within a reasonable timeframe.
In addition, you’ll identify any changes required to administrative and business processes due to policy decisions, initiatives or regulatory changes.
What we’re looking for
You’ll will have strong T&C experience within a wealth management (financial planning and advice) environment.
This may have been gained in a dedicated T&C role or as part of a wider Compliance remit.
You’ll have a good understanding of the regulatory environment, including COBS, DISP, COLL and Consumer Duty.
You’ll ideally be qualified to CII Level 4, whilst J07 or H15 qualifications would be advantageous.
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T&C Supervisor (Wealth Management) in Bath employer: Willow Resourcing Limited
Join a rapidly growing Consumer Lending firm in London, where you will benefit from a supportive work culture that prioritises employee development and mentorship. With a hybrid working model and a focus on career progression, this role offers you the chance to broaden your skills while being part of an exciting journey as the company expands into new markets. Enjoy competitive benefits and the opportunity to make a meaningful impact in a dynamic environment.
