- Oversee delivery of all T&C activity in line with relevant T&C handbooks, policies and procedures, evidencing holistic oversight of ARs.
- Lead all managers and teams to deliver consistent positive consumer outcomes through a customer-centric vision.
- Identify opportunities within firms and advisers to reduce risk and drive positive outcomes for consumers.
- Identify trends and opportunities to optimise supervisory resource
- Deliver the Certification and Conduct Rules controls as part of SMCR.
- Represent the firm at Industry T&C related events, groups or committees
- Provide accurate and timely FCA data submissions
Back to searchHead of Training & Competence
Davies Talent Solutions
Posted 14 hours ago, valid for 22 days
Swindon, Wiltshire SN1 2ED, England
Full Time
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Sonic Summary
- Our client, a growing financial services firm, seeks a dynamic Head of T&C to enhance their Supervision Framework for ARs and advisers.
- The successful candidate will be a key member of the Assurance senior leadership team, acting as the subject matter expert on T&C Supervisory oversight.
- Responsibilities include overseeing T&C activities, leading teams to achieve positive consumer outcomes, and delivering Certification and Conduct Rules controls as part of SMCR.
- The ideal candidate should have at least 5 years of experience leading T&C functions within a regulated firm and managing a budget of over £1 million.
- The role offers a competitive salary of £100,000 per year, reflecting the importance of strong AR oversight controls.
