Training and Competence Supervisor
Up to 40,000
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- Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice for approved persons and the relevant FCA rules at all times.
- Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud, and corruption) procedures of the firm at all times.
- Keep up to date with all relevant product, legislative and technical changes.
- Effectively deliver the Training and Competence requirements of the firm, including
- Assessing the competence of advisers,
- Identifying knowledge or skills gaps and applying coherent plans to close the gaps.
- Developing pre-CAS advisers to full competence.
- Supervise advisers within your span of control.
- Support adviser training generally and as needed.
- Support advisers in developing their business goals and objectives.
- Maintain accurate records relating to T&C and other matters.
- Support the firm’s Compliance function.
- Maintain personal knowledge and skills by completing ongoing CPD.
- Monitor advisers’ performance against company Key Performance Indicators and take appropriate action where necessary to address any underperformance or gaps.
- Maintain complete, up to date records supporting assessment and maintenance of competence, including ensuring SPSs and internal licenses/testing are up to date and appropriate CPD is completed.
- Accompany advisers in client meetings where appropriate, with clear objectives set and feedback provided specifically to the adviser’s competence.
- Report regularly to senior management on the competence of advisers including escalating any material issues or breaches in a timely fashion.
- Deliver regular feedback to management on the performance of individual advisers and any emerging issues.
- Monday – Friday, 9 am – 5 pm with flexibility
- Competitive salary
- Discretionary bonus
- Excellent and supportive
- QCA Level 4 or good progress towards
- Experience of supervision in a regulated environment and the ability to build and maintain professional relationships.
- Knowledge and understanding of the FCA’s regulatory and compliance procedures including record keeping requirements.
- Knowledge and understanding of assessing the competence of those holding an advisory role and identifying means of developing those that are not yet Competent (CAS)
- A willingness to work closely with colleagues to ensure the best possible outcomes for clients.
- Ability to demonstrate that you are a person of the highest integrity.
- Start every journey with a conversation to find out about you in-depth.
- Provide honest feedback on where you fit in the jobs market.
- Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you.
- Take a holistic mindfulness approach – career happiness is rarely just about the money.
- Cover the whole of the UK with a local touch through our regional teams.
- Never pester you.