T&C Supervisor (Wealth Management)

Willow Resourcing; Bath; Hybrid; GBP 55,000 - 75,000; Full time

Benefits offered by this job

Hybrid Working

Remote Working

Job summary

Willow Resourcing is seeking an experienced T&C professional to oversee the terms and conditions framework for around 35–40 Financial Advisors, including Appointed Representatives. You will ensure compliance with regulatory requirements and help develop the advice process.

The role offers hybrid work with regular office presence in Bath or London and scope for career progression within a fast-growing IFA group.

Qualifications

• Strong T&C experience within a wealth management environment (financial planning and advice).
• Good understanding of the regulatory environment (COBS, DISP, COLL and Consumer Duty).
• CII Level 4 qualification preferred; J07 or H15 advantageous.

Responsibilities

• Oversee the T&C of around 35–40 Financial Advisors, including Appointed Representatives, ensuring compliance with regulatory requirements.
• Identify key development areas within the advice process and address gaps through tailored training.
• Assist in developing new and trainee advisors to achieve CAS status within a reasonable timeframe.
• Identify changes to administrative and business processes due to policy decisions or regulatory changes.

Skills

T&C experience

Wealth management

Regulatory knowledge

Training needs analysis

Education

CII Level 4

J07 or H15

Job description

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.

Company: Fast growing IFA group

Location: BathLondonSomerset

Workplace: Hybrid Working

Workplace: Remote Working

Reference: 415258