Our client is one of the most widely recognised and respected Wealth Management companies with a history dating back over 200 years and Assets under management of c. £50bn.
The purpose of this role is to provide ongoing T&C supervision of and support to Financial Planners located in various company offices supporting their development and training needs. Also to deliver the supervisory requirements of the business ensuring that its requirements are being met.
With significant growth planned over the next 5 years, this role brings exciting opportunities for career growth including the ability to influence and help steer the T&C requirements of the business.
Reporting to Head of Advisers - Financial Planning
Internal Head of Financial Planning, Regional Manager - Financial Planning, Financial Planners, wider RFP team, 1st and 2nd Line of Defence (LOD) Compliance checkers, Learning & Development team, Investment Managers.
External Clients, Professional bodies.
Key duties and responsibilities will include:
- To effectively support the T&C requirements of the firm.
- To supervise Financial Planners across various offices in the UK.
- To work with the other T&C Supervisors to ensure a consistent and effective approach.
- To observe, support and develop the skills of all Financial Planners.
- To support Financial Planner induction training.
- To ensure Financial Planners attain competent status in a timely manner to support the commercial goals of the team.
- To demonstrate and share knowledge and understanding.
- To maintain accurate records relating to T&C and other matters.
- To support the firm’s compliance function.
- To maintain personal knowledge and skills.
- Min 2 years’ experience in a similar role running a Training and Competence function
- High degree of expertise in T&C managing and developing frameworks.
- Demonstrable financial services/wealth planning sector experience.
- Detailed understanding of the Financial planning process
- Ability to build constructive relationships providing support for team members.
- Sharing and developing ideas, listen and consult with colleagues.
- Building and maintaining a professional service to clients and external contacts.
- Level 4 (minimum) or Chartered and Level 6 qualified (preferred)
- With either the G60, AF3, or AF7/8 certificate (preferred)
- Analytical skills
- Organisational skills
- Excellent communication adopting a flexible and adaptable approach.
- Able to work on own within close supervision
- Time management
- Able to devise and deliver training
- Competency Assessment
- Financial Planning
- Staff Training
- Training Programme
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