We are delighted to be exclusively partnering with an independent financial advice business that are looking to appoint a Training & Competency (T&C) Supervisor. This is a remote role with a £3.6k car allowance and there will be occasional travel to their Head office.
Role Purpose:
The role will facilitate and help deliver the firms T&C requirements as defined by the FCA and the business. You'll provide effective monitoring and control in the firm and to support the adherence of advisers and line management, whilst reporting shortcomings through the appropriate reporting lines.
A key responsibility in this role is to facilitate the effective induction for all new recruits, creating bespoke plans dependent upon the individuals qualifications, expertise, and previous experience. The overall target is to ensure prompt attainment of CAS for all new starters.
Via collation of relevant data, you will provide sales management with accurate and meaningful data relating to adviser RAG status, with detailed breakdown of rationale. The role will be fully responsible for meaningful and effective supervision of all amber and red advisers to ensure the business meets its requirements as set out in T&C manual and adheres to T&C rules.
The post holder will carry out desk based supervision of green advisers, liaising with sales management and QA team as necessary regarding coaching and development.
Required Skills & Knowledge:
- Up to date knowledge of various rule books in particular T&C, regulations and codes relevant to the firm
- Good working knowledge of IO and application of extraction of MI required to ascertain KPI data, MI reporting on all advisers
- Understanding of industry developments and the impact on the business
- IT literate, including all Microsoft Packages
- Good interpersonal relationship skills
- Positive team working and collaboration
- Well organised, readily able to work to agreed, sometimes challenging deadlines
- Influencing - able to report to other business areas and members and where necessary influence behaviour and attitudes to improve compliance and business practices
- Flexibility / adaptability - able to adapt to changes in the business and its practices and regulatory / legal amendments
- Drive own development - highly motivated to achieve work tasks and to assist with the management of their own development - knowledge and skills improvement
- Attention to detail- able to produce accurate and meaningful data required for RAG reporting and other MI as required by Risk & Compliance Director.
Qualifications:
- Minimum of 6 years' experience within a regulated or financial services environment in particular a training and competency environment.
- Relevant industry qualifications, at least to QCA Level 4 or equivalent, and including H15/J07
- CeMAP, G60/AF3 are desirable
Desirable:
- Experience of working in a compliance or audit and risk function;
- Previous experience of reviewing Occupational Pension Transfers or ETV, PIE exercises.
- Working knowledge of business operations and practices