Job Description: I'm working with an expanding business operating in the independent financial planning space who are looking for a T&C Supervisor to join the business. As part of the overall compliance department, you will support their IFA's on all aspects of training, competency and compliance per established standards and internal procedures.
The role will involve taking responsibility for the following:
Managing induction and supervision of new entrants
Provision of technical, supervisory and compliance support to new and existing advisers
Completion of regular risk-based one-to-ones with advisers.
Collating data and recording results on the system, identification, and reporting of trends by the adviser or firm level
Providing appropriate feedback both written and verbal to individual advisers
Liaison with colleagues within the firm across the training and competency functions where necessary
The individual will be expected to learn other compliance aspects to provide cover whenever needed.
A background in financial services training and competence, ideally 2 years
Level 4 Diploma qualified
Robust product and technical knowledge across all facets of financial services, with particular knowledge and working experience in all types of pensions and investments.
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.
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