T&C Supervisor / Compliance Support

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

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