Head of T&C Operations
A busy financial services practice based in the Midlands is looking for an experienced Head of T&C Operations who has significant experience supporting IFA's and a substantial breadth of experience in operational and risk management functions.
Main duties will include:
- Working in conjunction with the Risk department, contributing to embedding the Firm’s systems, controls and processes across all CF30 functions
- Responsibility for absorbing and effecting all necessary remedial actions following communications from departmental heads
- Co-ordination and analysis of T&C MI data in order to determine recommendations of actions to be delivered by T&C supervisors
- Oversight of T&C MI data gathering processes ensuring that administrative functions have a clear and indepth knowledge of the functions that they perform
- Responsibility for monitoring of Span of Control limits, forwarding proposals and alerts as necessary to Group Head of Risk to ensure mitigation of any unnecessary financial or regulatory exposures
- Responsibility for MI reporting to the Risk department of trend analysis, action plans and associated consultant risk ratings
- Responsibility for self-development and development of team members in understanding all functions performed by the business to ensure cohesiveness of communication and process
- Operational oversight of T&C Recruitment, recognising escalation points to Risk when recruitment applications fall outside acceptable parameters
- Key stakeholder in consultant induction process ensuring regular communications with Head of Training
- On-going review of T&C processes, identifying continuous improvement recommendations where necessary
- Co-ordinating communications of issues identified with T&C software data discrepancies to Head of Operations
- Responsibility for successful embedment and confirmed understanding of T&C software amongst all relevant stakeholders
- Line management of all members of the T&C Operations Department, ensuring the development and maintenance of successful working relationships through regular reviews and effective communication Assistance with any departmental function as required.
This role is offering a highly competitive salary and benefits package and will give the successful individual the opportunity to work with all levels of the organisation.
For further information please contact Ella Britton