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Filed based Training and Competency Supervisor

Filed based Training and Competency Supervisor

Posted 20 January by REED
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My client are a prestigious network with a national coverage who are currently looking for a Field based Training and Competency Supervisor to join their team to oversee 40-45 Advisers.

In return for your expertise, you will receive immaculate training and support, a competitive salary plus car allowance, and an unrivalled benefits package.

If you hold the full Level 4 Financial Planning Diploma and are looking for a new challenge to utilise your T&C experience, then this opportunity would be ideal for you.


  • To develop and maintain business quality standards amongst the company Advisers, firms and Practice Supervisors to ensure good customer outcomes.
  • To undertake an in-depth risk assessment review of Advisers, Firms and Practice Supervisors in line with the assessment criteria and frequency defined within the T&C scheme.
  • To ensure a smooth transition of new business recruits and individual PFAs. This will be pre, at, and post appointment.


  • Act in accordance with the FCA’s Statement of Principles ensuring business quality and adequate supervision of Advisers, Practice Supervisors and firms. 
  • Complete the activities set out in the Firms Training and Competence Scheme to manage risks and ensure Adviser overall competence is maintained and assessed – emphasis is on showing advisers ‘how to’ in accordance with the SAF.
  • Maintain effective communications with all relevant parties.
  • To assess and interpret changes in sales process and communicate to the new advisers.
  • Be a centre of knowledge for the market place, firms proposition, processes & systems.
  • Respond appropriately to allegations of fraud, unsuitable advice or negligence.
  • Undertake activities in a professional manner with the overall objective of effectively managing risk, e.g. agree and create an appropriate remediation plan.  Be well-organised, able to plan work and manage multiple tasks effectively.
  • To be proficient in all changes to firms submission systems to support new entrants in early stages of induction into role.
  • Provide a smooth transition into the company ensuring appropriate support.
  • Provide skills development for new entrants in early months to support their path to full competence and general business success.
  • Work with Recruitment Team to support new business and PFAs into the company to hit target of 100 new advisers per year.
  • Work with Firms and advisers to ensure marketing material, websites and social media is up to date and approved.
  • Maintain strong relationships with Firm Principals to support management of risks and growth and development of their business.


  • Holds Level 4 Diploma qualification and MAQ or equivalent (Necessary)
  • A minimum of 2 years’ experience in managing/supervising Financial Advisers for regulated purposes (Necessary).
  • Minimum of 2 years personal selling experience (Desirable).
  • Holds Supervisory qualification H15 or J07 (Desirable).
  • Fully Competent as a Supervisor in a regulated environment.
  • Full Supervisory Licence.

Reference: 39775750

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