15 days ago
To support the Compliance Director in delivering high-quality Supervision in accordance with the company T&C Scheme, providing day- to-day management, direction and development of T&C Supervisors, and take a lead role in driving key team initiatives.
Key responsibilities include:
- Manage the delivery of the company T&C Scheme.
- Leadership, direction and line management of Training & Competence Supervisors.
- Manage the information flow in support of the Certification process, validating Training and Competence Supervisor submissions and challenging where appropriate.
- Adopt a ‘hands on’ approach and leading by example, demonstrating what effective Supervision is, setting the standards and coaching to that standard.
- Facilitate the annual Training and Competence Supervisor training and assessment course, setting the agenda and developing appropriate content.
- Report on T&C activity to the Compliance Director and highlight areas of regulatory risk, together with details of mitigating actions.
- Coaching and development of Training & Competence Supervisors, including ensuring that that they build strong working relationships and engagement with Planners/stakeholders.
- QCF level 4 Diploma in Financial Services as a minimum as well as a Supervisor Qualification e.g. H15, JO7
- At least 3 years’ knowledge and experience of T&C within the financial services sector.
- Excellent knowledge of the UK regulatory system in general, particularly those aspects relevant to advisory businesses
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.