T&C Supervisor (Wealth Management)

Willow Resourcing Limited; Bath, Greater London; On-site; GBP 55,000 - 70,000; Full time

Job summary

Willow Resourcing Limited seeks an experienced T&C professional to oversee terms and conditions for around 35-40 Financial Advisors, ensuring regulatory compliance. This hybrid role offers home-based work with 4-5 days per month in Bath or London and a clear path to T&C Manager.

You will shape the firm’s T&C strategy, identify development areas and deliver tailored training to support growth within a growing wealth management business.

Qualifications

• T&C experience within wealth management required or within Compliance remit.
• Knowledge of COBS, DISP, COLL and Consumer Duty.
• CII Level 4 qualification; J07 or H15 would be advantageous.

Responsibilities

• Oversee the T&C for 35–40 Financial Advisors ensuring regulatory compliance.
• Identify development areas in the advice process and arrange targeted training.
• Support development of new and trainee advisors to CAS status within a reasonable timeframe.
• Identify and implement changes to administrative processes in response to policy or regulatory changes.

Skills

T&C experience

Regulatory knowledge

Education

CII Level 4

J07 or H15 advantageous

Job description

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.