Job Description: My client is one of the fastest-growing financial advisory firms in the UK and they’re looking to add a Training & Competence Supervisor to the team.
Reporting to the Head of T&C, you will provide support to Wealth Management Partners on all aspects of training, competency and compliance in accordance with established standards and internal procedures.
The role will involve:
• Managing induction and supervision of new entrants
• Provision of technical, supervisory and compliance support to new and existing advisers
• Completion of annual and additional risk based one to ones with advisers.
• Collating data and recording results on the system, identification, and reporting of trends by adviser or firm level
• Providing appropriate feedback both written and verbal to individual advisers
• Performing and recording further reviews on an ongoing basis
• Liaison with colleagues within the firm across the training and administration functions where necessary Operating within defined targets and objectives (volume and quality of Key Performance Indicators)
• The individual will be expected to learn other aspects of compliance with a view to providing cover whenever needed.
Key Requirements:
• Ideally from a financial services training and competence background.
• Level 4 Diploma qualified, preferably with AF6 or working towards this or an equivalent qualification. A sound product and technical knowledge across all aspects of financial services with particular knowledge and experience of all types of pensions and investments.
• Training and Competence supervisory experience: Ideally minimum 3 years, preferably including at least 1 year’s compliance support.