Training & Competency Supervisor/ Compliance Officer
Due to company growth, a fantastic opportunity has arisen for a Compliance professional to join an exceptional Chartered wealth practice in Newcastle as Training and Competency Supervisor/ Compliance Officer.
You will assist in delivering core training and development support to advisers, paraplanners and other members of the Compliance Team helping them to meet regulatory requirements and fulfil in their job role.
Working collaboratively with the Compliance Director, the following would fall under the successful candidate’s remit:
- Support and supervise new recruits to the firm ensuring that supervision and the sign off procedure takes place;
- Providing coaching and mentoring to advisers both onsite and remotely to ensure compliance with regulatory rules;
- Undertaking file reviews ensuring findings are accurately recorded and handled appropriately;
- Undertaking KPI reviews and gathering MI, spotting trends and risks, reporting on these and ensuring remedial action is taken where needed;
- Ensure that financial promotions are approved in accordance with the FCA rules, whilst aiding firms in interpreting and applying the regulatory guidelines on advertising;
- Keeping up to date with relevant product knowledge, legislative and regulatory developments.
- Assisting the Head of Compliance in providing a timely response for requests for information from the FCA.
Skills and Experience required
To be considered for this role, applicants will ideally hold the Level 4 CII Diploma qualification and have a willingness to work towards Chartered and beyond, all of which will be supported by the company and paid for. Applicants will have an excellent understanding of pensions, investments and protection products.
Applicants are welcomed from experienced T&C Supervisors as well as individuals currently working in File Review/ Case Checker or general Compliance Officer roles in a regulated practice, ideally from an IFA practice, candidates looking to move into T&C for the next step in their career.
Candidates will need to be computer literate and have knowledge and understanding of the FCA’s regulatory and compliance procedures including record keeping.
You will have excellent communications skills and be comfortable getting buy in from advisers, happy to train and motivate them to do their job correctly and compliantly.
Please note: The top end of the salary bracket will only be available to exceptionally experienced candidates.
To be considered for this role, please send your cv to jenny @ tempestjones . com
IFA, Compliance, t&c, file review, case checker
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