T&C Specialist

7 days ago

Exeter Devon, United Kingdom IDEX Consulting Ltd Full time €70,000

Training and Competency Oversight Specialist – Financial Planning

Salary up to £70,000 plus bonus and benefits + hybrid working

Exeter

Job description

What the Hiring Manager Says

  • We provide highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning, and preparing for retirement. We are part of a leading provider of advice, investment platforms, multi-asset investment solutions, and discretionary fund management.
  • With a trusted history of over 250 years, we ensure our clients' investments are managed with precision and foresight. Today, we are one of the UK's largest wealth management firms, offering expert discretionary investment management and financial planning.
  • If you want to play a part in shaping the future of our business, bringing new ideas and challenges, now is a great time to join us.

About the Role

Responsibilities:

  • Form part of the Supervision and Competency Oversight team, providing regulatory supervision over our financial planning population and their adherence to the firm's Training and Competency scheme and the overarching control environment.
  • Provide supervision support for new and existing Financial Planners, overseeing operational financial planner activity from a competency and advice standards perspective to manage risk and ensure good customer outcomes.
  • Deliver key commitments outlined in the firm's Training and Competency scheme, including monitoring Financial Planner KRIs, carrying out observations, and holding 1:1 meetings.
  • Support the initial and annual reassessment of competence and Fit and Proper processes for Financial Planners as required.
  • Support the Supervision framework, including making relevant risk assessment recommendations.
  • Support Financial Planners by identifying areas of improvement or training interventions, including the establishment and monitoring of agreed adviser development plans.
  • Identify thematic issues and support the upskilling of the financial planning community where appropriate.
  • Help identify trends where policy and processes could be improved to mitigate risks.
  • Ensure all activity is recorded as per relevant procedures.

Key Attributes:

  • Proven experience of providing supervisory support to regulated individuals within financial services, including carrying out skills observations/assessments.
  • In-depth knowledge of financial services and the regulatory environment, particularly related to Financial Planning regulations.
  • Knowledge of the Certification regime.
  • Strong coaching and assessment skills.
  • Strong communication and stakeholder management skills, with the ability to work in matrix environments.
  • Ability to display sound judgement when making recommendations.
  • Attention to detail.

Qualifications:

  • Minimum Diploma qualified level 4 in Financial Advice. Ideally advanced qualifications acquired

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