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Training and Compliance Supervisor


£40000.00 - £45000.00 per annum

Training and Compliance Supervisor


Alexander Lloyd are currently Recruiting for a Compliance & Training Supervisor within a Sussex based IFA business.


* Keep up-to-date with regulatory and industry developments
* Maintain a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired time scales
* Monitor AR firms, coaching and mentoring approved persons both remotely and on-site, to ensure compliance with both regulatory rules and Network procedures
* Liaise effectively with senior management in respect of regulatory and Network issues
* Assist the Compliance Director in providing a timely response to requests for information from the FCA
* Assist in making all appropriate notifications to the FCA
* Apply a risk-based and common-sense approach to the compliance monitoring process
* Undertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks
* Undertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly
* Test approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices, and provide relevant feedback and training where necessary
* Test and supervise new joiners to AR firms, ensuring that supervision and formal sign-off procedures are applied as appropriate
* Ensure that financial promotions for member firms are approved in accordance with the FCA rules, whilst aiding firms in interpreting and applying the regulatory guidelines on advertising

Level 4 Diploma in Regulated Financial Planning (or equivalent), with interest to progress towards further qualifications.

Skills and knowledge

* Detailed knowledge of FCA rules and their interpretation/application
* Ability to train and motivate others whilst remaining flexible/adaptable
* Highly developed analytical, observational and communication skills

Please quote (42992) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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