T&C Supervisor / Compliance Support
Posted a day ago
- Kibworth Harcourt, Leicestershire
- Any
- External
- Expires In 3 months
This T&C Supervisor / Compliance Support job in South Leicester provides opportunity to join a local Financial Services firm.
As T&C Supervisor, you will be assisting their Senior Compliance Manager by providing training and competence support to their small team of Independent Financial Advisors and work on compliance projects.
You will be required to support new and existing IFAs on ensuring they adhere to the company and FCA guidelines, through role-plays, 1:1s, observations etc. Plus, you will assist the compliance team in identifying regulatory risks and design internal controls to ensure compliance is maintained across the business
Our client would provide full on-the-job training to enable you to succeed in your role.
The Company
Our client provides independent advice to clients on all aspects of financial planning. The business has a growing team who enjoy working together to support the needs of their clients. Most of their team are long serving team members who enjoy being part of the business.
T&C Supervisor / Compliance Support Requirements
You should have experience within compliance for financial services and understand how Financial Advisors and Mortgage Advisors operate
This could suit a Financial Advisor or Mortgage Advisor looking for a change of career direction
Ideally, you should hold full Level 4 Diploma in Financial Planning or equivalent
T&C Supervisor / Compliance Support Benefits
Salary of £30,000 - £35,000 depending on experience
Plus, generous non-contributory pension, performance-based incentives, DIS, 25 days holiday plus bank holidays
Office based role within modern offices with free, secure parking on site, plus full kitchen, dining and gym facilities
37.5 hours per week, Monday to Friday
Working within a business that is passionate about helping their clients
Regular paid team events through the year to get involved in
Locations
South Leicester
Liability and Disclaimer
Whilst Premier Jobs UK uses all reasonable efforts to ensure the information contained in our adverts including any salary, benefits or on target earnings are accurate, we give no representation or warranty in respect of such information. No liability is accepted by Premier Jobs UK for any loss or damage which may arise out of any person relying on or using any information.
TPBN1_UKTJ
As T&C Supervisor, you will be assisting their Senior Compliance Manager by providing training and competence support to their small team of Independent Financial Advisors and work on compliance projects.
You will be required to support new and existing IFAs on ensuring they adhere to the company and FCA guidelines, through role-plays, 1:1s, observations etc. Plus, you will assist the compliance team in identifying regulatory risks and design internal controls to ensure compliance is maintained across the business
Our client would provide full on-the-job training to enable you to succeed in your role.
The Company
Our client provides independent advice to clients on all aspects of financial planning. The business has a growing team who enjoy working together to support the needs of their clients. Most of their team are long serving team members who enjoy being part of the business.
T&C Supervisor / Compliance Support Requirements
You should have experience within compliance for financial services and understand how Financial Advisors and Mortgage Advisors operate
This could suit a Financial Advisor or Mortgage Advisor looking for a change of career direction
Ideally, you should hold full Level 4 Diploma in Financial Planning or equivalent
T&C Supervisor / Compliance Support Benefits
Salary of £30,000 - £35,000 depending on experience
Plus, generous non-contributory pension, performance-based incentives, DIS, 25 days holiday plus bank holidays
Office based role within modern offices with free, secure parking on site, plus full kitchen, dining and gym facilities
37.5 hours per week, Monday to Friday
Working within a business that is passionate about helping their clients
Regular paid team events through the year to get involved in
Locations
South Leicester
Liability and Disclaimer
Whilst Premier Jobs UK uses all reasonable efforts to ensure the information contained in our adverts including any salary, benefits or on target earnings are accurate, we give no representation or warranty in respect of such information. No liability is accepted by Premier Jobs UK for any loss or damage which may arise out of any person relying on or using any information.
TPBN1_UKTJ