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Training and Compliance Supervisor (Field Based)

£35000 - £45000 plus benefits

We are delighted to represent this firm of Chartered Financial Planners who have an excellent reputation of investing and developing in its team.  When not delivering first class advice to its personal and corporate clients, the company is busy giving back to its local community. They are proud to be supporting a number of charitable trusts and foundations. They are looking for a T & C Superviser to support the Line Management of Financial Planners and Appointed Representatives across the Group to deliver the T&C requirements as defined by the FCA and the company. Delivery of training material to the group.

To ensure that internal policies and procedures are adhered to and FCA regulatory requirements are met across the Group. Frequent travel may be required between the offices (Bath, Chelmsford, Cheltenham, London, Bridgewater, Mansfield) and other locations where advisers are based, with the possibility of some overnight stays

The Role

  • Responsible for the ongoing T&C of a number of regulated and other individuals within the group to ensure the highest standard of compliant business practice when discharging the responsibilities of the role.
  • Identify key areas for development of individuals within the advice process and take steps to help address any knowledge and skills shortfalls.
  • Maintain, update and review T&C records
  • To support line management in the supervision of Financial Planners by satisfactorily completing Observed Meetings, One to One Development Meetings, provide coaching, feedback and training as appropriate in order to maintain and develop adviser competence
  • Responsible for developing any new Financial Planners (Junior) to full CAS status and for inducting and coaching any new Financial Planner acquisitions to full CAS status
  • Report the findings from all monitoring, observations to make suitable and agreed recommendations for remedial work 
  • To report material breaches to the Head of T&C (RGM)immediately
  • Agree training plans with relevant staff across the business
  • To construct, develop and deliver training sessions to Financial Planners by group classroom sessions and individual 121 sessions
  • Identify any changes required to administrative and business process matters arising from 
  • Business policy decisions, initiatives and regulatory requirements
  • Monitoring of transactions undertaken by all business areas, particularly in relation to ongoing service delivery, client files, KPI reviews, client meeting observations, etc. to agreed business benchmarks and in adherence to Regulatory best practice and company behaviours
  • Maintain awareness of Regulatory developments which may have an impact on the business, in particular those that may impact on the T&C requirements of the business
  • Identify any issues which may adversely affect the business, escalate when necessary and appropriate to do so.
  • Comply with compliance procedures, TCF, Data Protection and FCA Regulations at all times to ensure regulatory requirements and company policies are not breached.
  • Develop a solid working knowledge of all FCA regulated product ranges, service providers, investment platforms and FCA Principles and Rules.
  • To maintain an up to date knowledge of various rule books, regulations and codes relevant to the company
  • Undertake any projects relating to the role or Compliance Team as necessary

About You

  • Qualified to DipPFS or equivalent
  • Time spent in similar role within Financial Services Industry
  • Demonstrable knowledge and/or experience of T&C regime and implementation
  • Extensive experience of working with Microsoft Office products including Word, Excel,Outlook and PowerPoint
  • Experience of delivering accurate and relevant information in an appropriate and timely manner
  • Experience of the IO back office system (Desirable)
  • Experience of cashflow modelling (Desirable)
  • Good working knowledge of FCA Principles and Rules
  • Strong interpersonal, communication and customer service skills
  • Excellent accuracy and attention to detail
  • Proven ability to work on own initiative and good organisation skills
  • Excellent research and report writing skills.
  • Group and individual training techniques
  • Preferably working toward APFS or hold APFS
  • Organised and efficient
  • Self-motivated, works consistently with little supervision and takes a proactive approach to their work 


  • 25 working days in addition to the normal  Bank Holidays, in addition 1 extra day’s holiday for each year of service up to 28 days.
  • Holiday buy and sell scheme where you have the opportunity to buy an additional 5 days holiday per year. 
  • Group Life Assurance
  • Group Pension Scheme
  • Private medical Insurance
  • Group Income Protection
Employment type: 
Employed (Full Time)
Financial Planning
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