Due to changes within the compliance function, our client, a mid-sized IFA Firm (part of a larger business), has an immediate requirement for a T&C (Training and Competence) Supervisor. The individual will join an existing and established compliance team and will be based out of modern, professional offices in Tyne and Wear.
This is a superb and rare opportunity in the North East, for an individual to use their experience of Adviser monitoring and development, to ensure quality and regulatory requirements are met.
Responsibilities:
- Support Training and Competence Manager in delivering training and competence supervision of Regulated Financial Advisers
- Conduct both pre and post quality file reviews, client meeting observations/role-plays and provide feedback/training
- Deliver training and coaching to the advisory team
- Conduct via Zoom/Teams or, face to face, one-to-one meetings with advisers to ensure KPI's are achieved
- Identify individual Adviser development needs and assist in construction of bespoke action plans to address them
- Identify themes and risks across the business in terms of development areas or, knowledge gaps
- Assist in running of induction courses and other training courses
- Maintain knowledge of business and regulated requirements re training and competence
- Maintain detailed and effective training and competence records
Candidate Requirements:
- Understanding of FCA rules relating to the advice process and regulatory requirements
- Able to maintain accurate database records
- Demonstrate a good standard of written & verbal communication
- Strong organisational, planning, communication, prioritising and listening skills
- Ability to manage own workload, be self-motivated and use own initiative
- Sound work ethic with a pro-active approach
- Effective team player
- Smart and professional appearance
Benefits:
- 35 hour week (M-F 9-5) PLUS flexible working options
- 28 days holiday (plus bank holidays)
- 4 x DIS
- 5% pension contribution
- Generous annual bonus
- Study support
- Opportunities to progress
Qualifications:
- Level 4 Diploma in Regulated Financial Advice (or equivalent)
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