T&C Manager – Wealth Management recruitment
Position: TC Manager - Regulated
Location:London
Salary: C £40,000
Overview :
As a TC Manager you will be working for one of the market leading banking groups globally, employed to work within their wealth management division based in their impressiveUKhead office centralLondon. You will be supervising a team of 10 investment advisory specialists who are providing regulated advice on largely investments to HNW individuals.
Role:
- Provide effective supervision, monitoring and control for Wealth Management team.
- Deliver all TC requirements in line with both the FSA and firm's requirements for regulated Investment Consultants
- Specifically this includes implementation and monitoring of all compliance, control, sales process and TC requirements, including client file checks client meeting observations
- Demonstrate a high level of understanding of UK FSA Conduct of Business regulations and Training and Competence requirements.
- Compliance experience and knowledge of working within a regulated sales environment
- Maintaining high standards both in terms of an advisory and monitoring capacity.
- Maintaining and developing TC arrangements for a regulated team
- Monitor, maintain update TC scheme
- Proactively work with Investment Specialists, control and compliance teams to develop and maintain al TC and supervisory requirements
Requirements:
- TC and supervision to ensure all advisers meet internal and FSA standards, managing risk of the team through file checks, transaction monitoring, observations KPI analysis
- Proven track record of working in accordance with all regulatory, compliance and TCF policies (both internal and external) and communicate to regulated team as appropriate.
- Experience of represent Investment team for all control, compliance, TC and investment supervisory requirements
- Sound general knowledge of FSA regulation, TC and TCF requirements to meet RDR standards
- Good negotiator and ability to challenge at senior level
- Develop in-depth knowledge and understanding of sophisticated investment products and sales process in order to meet all requirements
- Ability to work under pressure and meet deadlines
- Demonstrated success in a TC and supervisory environment within a financial services organisation
- Knowledge of respective regulatory and operational environment
- Broad based knowledge of financial products and services
- Candidates must be level 4 (Diploma) qualified and RDR ready.
If you are interested in taking and exciting challenge with an established and growing wealth management business, please contact me directly on 02072923776.
Contact:Darren Duporte
April 27, 2011
• Tags: Private Banking, T&C Manager, Wealth Management careers in the UK, Wealth Management recruitment • Posted in: Financial