T&C Supervisor

Job reference
Horsham, West Sussex, United Kingdom
Start date
To be arranged
Compliance jobs / IFA jobs / Other jobs
Contract type(s)
Full time
Date posted

Training and Competency Supervisor

South East

£40,000 - £45,000 + a range of benefits inc pension

My client is an award winning chartered financial planners providing award winning holistic financial planning and discretionary fund management.

They are seeking a Training and Compliance Supervisor with a detailed knowledge of FCA rules who is able to train, manage and co-ordinate a team.

The main responsibilities of the role include:

  • Maintaining a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within timescales;
  • Monitoring AR firms, coaching and mentoring approved persons both remotely and on-site so as to ensure compliance with both regulatory rules and Network procedures;
  • Undertaking regular KPI reviews;
  • Testing approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices and to provide relevant feedback and training;
  • Keeping up-to-date with regulatory and industry developments.

You will be expected to apply a risk-based and common-sense approach to the compliance monitoring process. You will have a minimum of level 4 Diploma in regulated financial planning. The ideal candidate will have significant compliance and managerial experience within the financial services, preferably in an investment or insurance environment.

Ref:  5014

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