T&C Specialist

  • GBP35000 - GBP40000 per annum
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Charles Levick
  • 20 nov. 17 2017-11-20

Just landed and ready for the perfect candidate, our client who is a leading financial services group, providing a range of solutions to individuals and companies across three core areas, is seeking a DipPFS or equivalent qualified individual, who has a good working knowledge of FCA Principles and Rules to come in as a T&C Specialist covering the London area.

Just landed and ready for the perfect candidate, our client who is a leading financial services group, providing a range of solutions to individuals and companies across three core areas, is seeking a DipPFS or equivalent qualified individual, who has a good working knowledge of FCA Principles and Rules to come in as a T&C Specialist covering the London area.

This is a feild based role that would have some meetings in Bath and Chelmsford, this is a fantastic opportunity to start within a great company with fantastic benifits.

Main Purpose

To support the Line Management of Financial Planners and Appointed Representatives across the Group to deliver the T&C requirements as defined by the FCA and the company.

To ensure that internal policies and procedures are adhered to and FCA regulatory requirements are met across the Group. Frequent travel will be required between the offices and other locations where advisers are based.

Key Responsibilities

1. Training and competence
* Responsible for the ongoing T&C of a number of regulated and other individuals within the group to ensure the highest standard of compliant business practice when discharging the responsibilities of the role.
* Identify key areas for development of individuals within the advice process and take steps to help address any knowledge and skills shortfalls.
* Maintain, update and review T&C records
* To support line management in the supervision of Financial Planners by satisfactorily completing Client File Checks, Observed Meetings, One to One Development Meetings, provide coaching, feedback and training as appropriate in order to maintain and develop adviser competence
* Report the findings from all monitoring, observations to make suitable and agreed recommendations for remedial work and follow-up on delivery to reduce areas of regulatory risk
* To report material breaches to the Head of Group Risk immediately
* Agree training plans with relevant staff across the business
* Identify any changes required to administrative and business process matters arising from Business policy decisions, initiatives and regulatory requirements
* Monitoring of transactions undertaken by all business areas, particularly in relation to ongoing service delivery, client files, KPI reviews, client meeting observations, etc. to agreed business benchmarks and in adherence to Regulatory best practice.

2. Regulatory Awareness
* Maintain awareness of Regulatory developments which may have an impact on the business, in particular those that may impact on the T&C requirements of the business
* Identify any issues which may adversely affect the business, escalate when necessary and appropriate to do so.
* Comply with compliance procedures, TCF, Data Protection and FCA Regulations at all times to ensure regulatory requirements and company policies are not breached.
* Develop a solid working knowledge of all FCA regulated product ranges, service providers, investment platforms and FCA Principles and Rules.
* To maintain an up to date knowledge of various rule books, regulations and codes relevant to the company

3. Project Work
* Undertake any projects relating to the role or Compliance Team as necessary
* Compile ad hoc reports as and when requested

Knowledge, Skills and Competencies
Personal Circumstances:
* Full time role
* Some flexibility with hours to support Financial Planners
* Frequent travel will be required between the offices and other locations where advisers are based, with the possibility of some overnight stays

Work Experience:
Essential:
* Time spent in similar role within Financial Services Industry
* Demonstrable knowledge and/or experience of T&C regime and implementation
* Extensive experience of working with Microsoft Office products including Word, Excel, Outlook and PowerPoint
* Experience of delivering accurate and relevant information in an appropriate and timely manner

Desirable:
* Experience of the Enable back office system
* Experience of cashflow modelling

Skills & Qualifications:
Essential:
* Qualified to DipPFS or equivalent
* Good working knowledge of FCA Principles and Rules
* Strong interpersonal, communication and customer service skills
* Excellent accuracy and attention to detail
* Proven ability to work on own initiative and good organisation skills
* Excellent research and report writing skills.

Desirable:
* Group and individual training techniques
* Preferably working toward APFS or hold APFS

Knowledge, Skills & Competencies
Behavioural Competencies:

Self-Management
* Organised and efficient, manages their own time effectively and prioritises to maximise productivity
* Self-motivated, works consistently with little supervision and takes a proactive approach to their work
* Reflects on their style and finds ways to adapt to others in varying situations.
* Adaptable to change and takes on-board feedback positively and identifies ways to address development needs or skill gaps

Delivering Together
* Personable and polite with the ability to interact and build rapport with all people within the business professionally
* Consistently communicates in a clear and structured way, ensures communication is timely and tailors the message to the audience
* Cooperative and develops a wide network across the whole business and external stakeholders
* Is a role model in delivering through team working, and successfully collaborates with others across the business
* Supports and contributes to team working and plans and structures their work to ensure key tasks are completed