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Training & Competence Supervisor, Swindon (SK-1215)

£35000 - £40000 plus benefits

Training & Competence Supervisor
Swindon/Reading 
£40,000 + car allowance + benefits
Working Hours: Monday – Friday, 9 am – 5 pm

This is a well-established, independent and directly authorised firm who provide a range of Wealth Management solutions to private and corporate clients, as well as offer an in-house investment solution.

The business seek an experienced Training & Competence Supervisor who can deliver all T&C Supervision requirements.

Purpose of the role

Ensure the training, competence and professional development of those subject to the FCA's Approved Persons Regime (APER), meet regulatory requirements and business expectations.

You will assist in delivering core training and development support to advisers, paraplanners and other members of the Compliance Team.

This is a field-based role where you will be required to travel across the UK (predominantly the South of England)

Relevant skills and knowledge

  • Level 4 Diploma in Financial Planning
  • 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 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 outcomes for clients
  • The ability to demonstrate that you are a person of the highest integrity

General responsibilities

  • 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
  • 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
  • Keep up to date with all relevant product, legislative and technical changes
  • Attend head office for regular meetings and to support the new adviser induction programme

Specific responsibilities

  • Effectively deliver the Training and Competence requirements of the firm, including assessing the competence of financial advisers, identify knowledge or skills gaps and applying coherent plans to close the gaps and 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 licences/testing are up to date and appropriate CPD is completed
  • Accompany advisers in client meetings where appropriate, with clear objectives set and feedback provided specific 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

For more information please get in touch on 01173 790818

Location: 
Swindon
Employment type: 
Employed (Full Time)
Sector: 
Financial Planning
Reference Number: 
SK-1215