Operations Manager/ T&C Supervisor

Operations Manager/ T&C Supervisor

Location: Newcastle outskirts

Salary: £40,000 - £50,000 per annum (negotiable, dependent on experience & qualification)

Our client is a growing Independent Financial Advisor (IFA) practice north of Newcastle and they are now seeking a highly skilled and experienced Operations Manager/ T&C Supervisor to oversee the practice’s general operations and supervise their T&C processes. The successful candidate will be responsible for the smooth running of the practice while ensuring adherence to regulatory training and competence standards.

On offer is a competitive salary package, a supportive work environment, and opportunities for professional development. If you are an experienced Operations Manager or T&C Supervisor looking for something a little different then please read on and get in touch for further detail about this rewarding position.

Responsibilities:

• Develop and implement operational strategies, policies, and procedures to optimise efficiency, productivity, and client experience.
• Supervise the day-to-day operations of this small but growing practice, providing guidance and support to your team, incorporating advisers, paraplanners and administrators.
• Oversee and implement T&C processes within the business, with responsibility for supervision of advisers, their observations and putting in place action plans where required, ensuring that all financial advisors meet regulatory requirements for training and competence.
• Monitor and evaluate staff performance, providing feedback and coaching to enhance skills and knowledge.
• Collaborate with the compliance team to ensure adherence to FCA regulations and internal policies, ensuring consumer duty and TCF are maintained.
• Maintain accurate records of staff training, competencies, and compliance-related activities.
• Assisting with onboarding and transformation, creation of one way of working when mergers/ acquisitions take place.

Requirements:

• Previous experience in an operations management or a T&C supervisor role within the regulated financial services industry.
• Level 4 in Regulated Financial Planning as a minimum.
• In depth understanding of FCA regulations and T&C guidelines.
• Ability to build rapport with clients, advisers and other stakeholders.
• Excellent communication skills, both written and verbal.
• Strong leadership, coaching, and mentoring skills.

To apply

Please send your CV to jenny @ tempestjones . com

T&C, Training and Competency, Compliance, Management, Team Leader