Supervisor, Adviser Skills and Competence

2 months ago

London, Greater London, United Kingdom Brewin Full time
RBC Brewin Dolphin is one of the UK's leading independent providers of discretionary wealth management. We offer award-winning personalised wealth management services that meet the varied needs of over 100,000 account holders, including individuals, charities, and pension funds.

We specialise in helping clients protect and grow their wealth by creating financial plans and investment portfolios that meet personal and professional ambitions and aspirations. Our services range from a simple execution only online service to bespoke discretionary investment management including retirement planning.

About this opportunity:

We are looking for multiple Training and Competence Supervisors, based across the UK as we embark on an exciting journey to build a centralised supervisory team. The successful candidate will work as a member of the national supervisory team providing quality, centrally led, oversight, risk analysis, and developmental support to advisers.

As a Supervisor, you will be a responsible manager for advisers' ongoing competency under SMCR, demonstrating this through activities including observations, 1:1s, coaching and feedback and data analysis, escalating risks and issues as required.

We are happy to consider applicants based within a commutable distance to any of our office network.

Responsibilities Include:
  • Work closely with line managers creating shared goals and objectives for management of performance and risk, supporting the creation and management of effective development plans with CPs and line managers to enable and measure improvement.
  • Develop strong relationships, providing expert counsel at an individual, office and business level, cultivating a positive culture around advisor competency and development.
  • Liaise with key stakeholders at all levels to provide information and insight into advisor performance, along with key data and behavioural trends.
  • Identify and implement opportunities for adviser development across the national network, working with training colleagues as required.
  • Be proactive and own your individual supervision activities e.g., planning, record keeping, ensuring regulatory requirements are met.
  • Provide subject matter expertise to panels, projects, and strategic initiatives as required.
  • Drive high standards and be an advocate for best practice, supporting Certified Persons to take accountability for their regulatory obligations, goal setting and KRI management.
  • Analyse MI/Data and use critical thinking to identify patterns and investigate root causes, use insight and experience to provide expert advice as regards remedial actions.
  • Demonstrate a continuous improvement mindset, using critical thinking and analysis to understand root causes and mitigate risk.
    This list is not exclusive, and you may be requested to carry out additional duties to those listed above.

    Skills/Experience:
    • Holds Level 4 Diploma qualification.
    • Ensure own competence as a Supervisor is maintained to perform role and up to date CPD.
    • Experience supervising or managing Advisers and providing technical guidance and direction as a subject matter expert is preferable
    • Understanding of the FCA T&C handbook and broader wider regulatory environment
    • Able to apply FCA handbook guidance with confidence and flexibility across a wide range of situations.
    • A strong Business Awareness and Strategic Focus.
    • Strong data analysis skills; identifying trends and patterns amongst various data sets,
    • Experience working effectively alongside other business teams (L&D, Risk & Compliance, HR) and exceptional attention to detail, consistently works to high standards of output and quality.
    • Ability to communicate effectively with people at all levels of the organisation, including verbal and written communications.
      RBC Brewin Dolphin is proud to be an equal opportunity employer. We are committed to recruiting and developing a diverse workforce, inclusive of race, religion, age, gender, sexual orientation and disability. If you have particular requirements in relation to accessibility or mobility during the recruitment process, please let us know and we will do our best to make suitable adjustments.

      To apply for this role, please click the "Apply" button below. The closing date for applications is 24/07/2024. Some of our vacancies receive high numbers of applications and we may decide to close this sooner, so we would encourage you to apply as early as possible.

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