Senior T&C Supervisor

Compliance Manager - Bromsgrove, West Midlands

Ref: 739Wednesday 15 June 2022


As a Senior T&C Supervisor you will be joining the existing Risk team. Whilst experience can be a bonus, we are also looking for those of you who have a hunger for learning and wish to grow with the business in the Bromsgrove office with hybrid working.

In this role you will supervise experienced advisers or/and advisers from acquisitions of recently acquired businesses who have previously been directors/vendors of their own businesses.   


Key Responsibilities as our Senior T&C Supervisor will include:

To effectively deliver key elements of the published T&C framework, in line with the firm’s culture, values and risk management approach

To assist the Head of L&D with adviser inductions in order to identify satisfactory initial competency

To conduct competency assessments as and when required, in collaboration with the Advice & Regulatory Assurance department, in order to assist advisers in obtaining Competent Adviser Status

Responsible for the delivery of key compliance issues that arise from regular KPI reviews, achieving and maintaining consistent good quality KPI outputs across the adviser force

Requirement to maintain CF30 status in order to perform constant supervision functions

To ensure that the firm’s T&C system (Worksmart) remains actively updated and record keeping is of a high-quality standard


What we are looking for in our ideal Senior T&C Supervisor:

Experience of the IFA sector covering both employed and self-employed advisers.

Qualified to at least QCA Level 4 Diploma

Excellent communication and interpersonal skills at all levels

Experience as a senior individual within a business, able to demonstrate good management skills

High work ethic and self-motivational skills



Contributory pension scheme

Bonus scheme

Cash plan health benefit scheme

Competitive and flexible holiday allowance, with buy and sell scheme options

Training and qualifications - We take pride in supporting and paying for our staff to undertake professional qualifications relevant to your jobs role once you have passed your three-month probation

Employee referral bonus scheme

Death in service benefit at 4 x your annual salary

Christmas party and summer events

Loyalty bonus for all staff based on length of service.

Additional holiday days for long service

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