A highly reputable award winning IFA network is seeking an experienced Training and Competency Supervisor to join their field based team. Covering mainly the South of England, you will spend at least 1 day a week in their West Sussex office, the rest of the time from home/out on visits. JOB DETAILS
You will maintain a span of control of up to 40 advisors, managing and scheduling all aspects of oversight, monitoring AR firms, coaching and mentoring approved persons both remotely and on-site to ensure compliance with regulatory rules and the Networks procedures.
* 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
Qualifications and Experience Requirements
Minimum of Level 4 Diploma in regulated financial planning (or equivalent), with detailed knowledge of the FCA rules and the ability to observe, analyse, communicate, train and motivate. You will have previous experience of feeding back findings to advisors within a Network environment and ideally have experience in an unsupervised field based role previously.
Please quote (43768) 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 www.alexanderlloyd.co.uk for any other roles which may be of interest.