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- Tasks: Supervise and support Financial Advisors, ensuring compliance and enhancing their skills.
- Company: A rapidly growing wealth management firm with a flexible work culture.
- Benefits: Flexible hours, remote work, travel expenses covered, and career progression opportunities.
- Other info: Enjoy a predominantly remote role with occasional in-person training sessions.
- Why this job: Join a dynamic team and make a real impact in the financial advisory space.
- Qualifications: Strong T&C experience in wealth management and knowledge of regulatory requirements.
The predicted salary is between 30000 - 40000 £ per year.
A predominantly remote role with real flexibility. You can structure your working day around any family commitments etc. We’re also flexible around the number of days/hours you work per week, 3 or 4 days work for us, whatever works best for you.
You’ll be joining a wealth management firm that’s growing quickly but sustainably. This growth is already creating opportunities for further career progression.
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 time-frame.
- In addition, you’ll identify any changes required to administrative and business processes due to policy decisions, initiatives or regulatory changes.
- Although predominantly home-based, you will need to occasionally provide in-person induction training to new Advisors at either the firm’s Bath or London offices (whichever works best for you). All costs for travel and any accommodation (if required) would be fully expensed.
What we’re looking for:
- You’ll 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 must have experience of conducting observations of Financial Advisors.
- 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.
- Any previous experience as a Financial Advisor would be of interest but is certainly not essential.
Part-time T&C Supervisor in Bath employer: Willow Resourcing
Contact Detail:
Willow Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Part-time T&C Supervisor in Bath
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the lookout for opportunities. A personal recommendation can go a long way in landing that T&C Supervisor role.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of regulatory requirements like COBS and DISP. We want you to feel confident discussing how you can ensure compliance and support Financial Advisors effectively.
✨Tip Number 3
Showcase your T&C experience! When you get the chance, highlight specific examples of how you've developed training programmes or identified skill gaps in previous roles. This will demonstrate your ability to make a real impact.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Part-time T&C Supervisor in Bath
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience that match the T&C Supervisor role. Highlight your T&C experience in wealth management and any relevant qualifications to catch our eye!
Craft a Compelling Cover Letter: Use your cover letter to tell us why you’re the perfect fit for this role. Share specific examples of how you've overseen compliance and training, and don’t forget to mention your flexibility and adaptability!
Showcase Your Regulatory Knowledge: Since understanding the regulatory environment is key, make sure to mention your familiarity with COBS, DISP, COLL, and Consumer Duty. We want to see that you’re up-to-date and ready to tackle compliance challenges!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at Willow Resourcing
✨Know Your Stuff
Make sure you brush up on your T&C knowledge, especially around compliance and regulatory requirements like COBS and Consumer Duty. Being able to discuss these confidently will show that you’re not just familiar with the role but also passionate about it.
✨Tailor Your Examples
Prepare specific examples from your past experience that highlight your ability to oversee Financial Advisors and identify training needs. Use the STAR method (Situation, Task, Action, Result) to structure your answers and make them impactful.
✨Flexibility is Key
Since this role offers flexibility, be ready to discuss how you can manage your time effectively while meeting the needs of the team. Share any strategies you’ve used in the past to balance work and personal commitments.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm’s growth and how they support the development of their advisors. This shows your interest in the company and helps you gauge if it’s the right fit for you.