The role will coach, train, develop and monitor the performance of the company Financial Advisers to ensure that clients receive an outstanding service and that all regulatory requirements and standards are met and maintained.
Key responsibilities include:
- Manage the training and development of a team of IFAs
- Conduct induction training for IFAs joining the company
- Participate in role-play assessment of IFAs
- Manage and supervise IFAs’ performance and provide appropriate levels of oversight from non-competent to competent status
- Undertaking training needs analysis to identify training gaps in skills and knowledge
- Investigate areas of underperformance, report findings and recommended remedial action
- Prepare development plans to address learning needs
- Conduct Observation and Assessment of IFAs’ advisory skills to demonstrate their ongoing competency, and to identify training needs
- Undertake pre-sale and post-sale client file reviews, instructing remedial action and identifying areas for development
- Provide compliance advice and guidance to assist the IFAs to maintain their knowledge of regulatory requirements
- Ensure IFAs undertake appropriate levels of CPD tailored to learning needs ad which meets minimum regulatory requirements
The Person:
- Minimum Level 4 Diploma qualified (or equivalent)
- Strong T and D background
- Previous experience of an RDC / Field Supervisor role
- Up to date compliance and risk management knowledge