Training & Competence Supervisor Field Based

Posted 16 March by MB Fitzgerald Easy Apply

Our client, the Financial Planning arm of a top 10 international Chartered Accountancy Practice are currently looking to recruit an experienced T&C Supervisor to assist the Compliance Director in the implementation and monitoring of the Training and Competence ( T & C) scheme .

The business have Advisers across the UK although the majority are in London and the Midlands. The role will involve travelling to meet the Advisers on a regular basis and so there is no requirement for the candidate to be office based.

Primary Responsibilities

  • Assisting the Compliance Director in providing T & C support
  • Ensuring that the business meet their FCA responsibilities with regard to T & C
  • Acting as a T & C Supervisor
  • To provide coaching, feedback and training to advisers
  • to support advisers in achieving and maintaining competent status
  • Ensure Advisors obtain and renew their SPS as required to give advice to clients
  • Regular liaison with other T & C supervisors to ensure their compliance with the scheme
  • Implementing changes/updates to the scheme when required
  • Monitoring Advisors ongoing compliance with the scheme and "fit and proper " rules
  • Collecting, analysing and recording Key Performance Indicator information as required by the scheme
  • Reporting via the Compliance Director to the Board on all aspects of the scheme
  • Maintaining the T & C records as required by the FCA
  • Responsible for recruitment administration for all new Advisors to ensure meet FCA "fit and proper" requirements

Key Skills & Qualifications

  • CII Financial Planning Certificate or Diploma Qualified, desire to achieve CII Chartered status
  • Previous experience as a T & C Supervisor within an Independent Financial Advisor
  • Good coaching, mentoring and feedback skills
  • Practical Compliance experience within the financial services sector preferably with an Independent Financial Adviser
  • Extensive knowledge of the FCA rule book and its practical application, particularly with regard to T & C
  • Good understanding of financial advice process and the FCA record keeping requirements

Candidates will receive a competitive basic salary as well as an excellent benefits package and full support towards further qualifications.

Reference: 34703831

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