Our client, a National firm of Financial Planners and Investment Managers are currently looking to recruit an experienced T&C Supervisor to assist the Compliance Director in the implementation and monitoring of the Training and Competence (T & C) scheme.
The business have offices across the UK but this role will be working with Advisers across the Midlands. Because of this, the successful candidate could be based from any office across the region or potentially even be field based, working from home when not meeting with Advisers.
Candidates must be Diploma Qualified and have experience in a T&C role. Ideally you will have experience Supervising Financial Planners who deal with all areas of Advice (Pensions, Investments, Protection etc). As you will also be dealing with Investment Managers, those who have experience of T&C in this area will be at an advantage, although this is not essential.
- Provide attaining and maintaining competence first line Supervision for a defined group of individuals those performing an FCA activity within the company by:
- Delivering new entrant training and other training interventions as required.
- Creating technical or skills based assessments along with supporting documentation.
- Providing feedback and coaching in relation to the outcome of role-plays and client visits/recordings.
- Providing feedback and coaching (on a 1:1 or group basis) in relation to learning needs identified from appropriate T&C Management Information.
- Assist in the development, support and maintenance of all firm T&C schemes and its documentation, including the policy and various electronic systems.
- Ensure appropriate stakeholders have access to accurate Key Performance Indicators to demonstrate the necessary systems and controls are working appropriately and risks are managed in relation to T&C and the wider Human Resources team.
- Provide guidance and appropriate support for the delivery of Professional Qualifications within regulatory roles.
- Maintain close working relationships across the business and its management teams, with the ability to give Learning & Development support to non-regulatory roles if required.
- Ability to travel across the UK essential.
Skills and Qualifications:
- At least 5 years' knowledge and experience of T&C within the financial services sector.
- Have an understanding of both Financial Planning and Investment Management.
- Ability to demonstrate a thorough knowledge and understanding of FCA T&C regulations.
- Qualified to at least QCF Level 4 with progression towards Chartered Financial Planner status (degree level) desirable.
- Previously held or undertaken T&C scheme responsibilities.
- A working knowledge of Learning Management Systems and Microsoft applications.
- A high level of written and verbal communication skills, with the ability to influence at a high level and have gravitas.
- Ability to prioritise workloads and to balance the needs of the business against the regulatory requirements.
- Ability to work effectively as part of a team.
- Good judgement and decision making skills.
- Excellent organisation and attention to detail.
- A customer focused approach with a willingness to succeed
Candidates will receive a competitive basic salary as well as an excellent benefits package and full support towards further qualifications.