Full job descriptionReed Financial Services are delighted to be partnering with a leading national wealth management and financial planning organisation in the search for an experienced T&C Supervisor to join their established Compliance team.
The role focuses on delivering the firm’s Training & Competence Scheme, supervising advisers, and supporting ongoing professional development.
This is an excellent opportunity for an individual with a strong background in Training & Competence, adviser supervision, and FCA regulation to join a highly regarded business with a national presence.
The Role
As a T&C Supervisor, you will play a key role in ensuring Financial Advisers maintain the required levels of competence and professionalism while delivering positive client outcomes.
Working closely with advisers across the business, you will provide coaching, conduct competency assessments, review advice standards, and support ongoing development in line with FCA expectations. The role sits within the Compliance function and involves building strong relationships with advisers and stakeholders throughout the organisation.
Key Responsibilities
*Deliver the firm’s Training & Competence framework in line with FCA requirements.
*Supervise a panel of Financial Advisers and support their ongoing development.
*Conduct adviser observations and competency assessments.
*Review client files and sales processes to ensure regulatory and internal standards are met.
*Provide coaching, mentoring and constructive feedback to advisers.
*Identify development needs and support training initiatives.
*Maintain accurate T&C records and documentation.
*Support business quality initiatives and corrective action plans.
*Work collaboratively with Compliance and wider business functions.
*Ensure compliance with FCA regulations and Fit & Proper requirements.
About You
To be considered, you will ideally have:
*Level 4 Diploma qualified status.
*A relevant Mortgage qualification.
*Previous experience supervising Financial Advisers within a regulated environment.
*Strong technical knowledge of pensions, investments and financial planning advice.
*Experience working within a financial advice, wealth management or IFA environment.
*Excellent communication and coaching skills.
*Strong knowledge of FCA regulations and Training & Competence requirements.
*Full UK driving licence and access to a vehicle.
What’s in it for you?
*Mix of remote working and site visits.
*Competitive salary.
*Discretionary bonus scheme.
*Generous annual leave entitlement.
*Enhanced pension contribution.
*Life assurance.
*Income protection.
*Ongoing professional development.
*Supportive and collaborative working culture.
*Opportunity to join a growing and highly respected wealth management business.
Apply Now
If you’re an experienced Advisor look to make a change, or a T&C Supervisor, Training & Competence Manager, Compliance Supervisor, or File Reviewer with adviser supervision experience, we’d love to hear from you.
Apply today or contact Reed Financial Services Newcastle for a confidential discussion.