We are currently recruiting for a growing company who are looking for a T&C Supervisor!
UP TO £40,000
We are currently recruiting for a specialist financial advice practise who are looking for a T&C Supervisor to join this growing business based in Guildford.
Duties to include:-
- Regularly review the relevant individuals client files as required by the firm's relevant procedures
- Ensure that advisers attain and maintain competency, identify conduct risks and deliver training
- Ensure the business are aware of any relevant guidelines and have appropriate training
- Ensure that all non-advisory employees are competent for the role
- Report to the firms senior management team on a regular basis
- Produce compliance reports for the senior management team
- Ensure the company is up to date management information
The suitable candidate will need to have relevant experience working within financial planning/financial advice. Excellent knowledge of products offered including insurance products, pensions etc.
Morgan McKinley is acting as an Employment Agency in relation to this vacancy. Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.