Member Oversight Supervisor

6 months ago

Horsham, United Kingdom Schroders Full time

Overall purpose of the job

To ensure robust systems, processes and procedures are adopted and carried out in relation to the approval of financial promotions, handling of client feedback, management of mandatory training and testing, and pre-approving business activity.

About Benchmark

Our award-winning, proprietary solutions cover regulatory, platform and investment services, and are designed to support advisers at every step of their journey - from starting and running a financial advice business more productively and effectively, to accelerating its growth and realising its value.
We support high quality financial advisers with our award-winning technology and support services.

And with our own Financial Advice business, we help families find solutions to meet their needs and aspirations and achieve peace of mind. By providing access to higher quality solutions, we make it easier for them to meet and exceed their goals.

Ensuring good client outcomes, with the client’s interests central to decision making, is very important at Benchmark. Treating Customers Fairly principles are embedded within our organisation and we take responsibility for embracing and promoting our duty of care to all clients, including those who may be more vulnerable than others.

The base

You'll be based at our Schroders Business Campus near Horsham in West Sussex. It has high standards and international reputation, without being in the city: a big, countryside campus means life will feel a little different. We support our offices by using cutting edge software and hardware and our spacious campus facilities mean there's a great working environment for the team. With an on-site restaurant, coffee shop and gym, our campus has much to offer. And commuters can relax on our dedicated regular shuttle bus to and from Horsham’s main line train station.

We know that helping you balance personal and professional commitments is a big part of that, so we're open to flexible working. Many of our staff work flexibly in many different ways, including part-time. Please talk to us at the interview about the flexibility you need.

What you'll do
- Keep up to date with regulatory developments relative to responsibilities.
- Advise senior management in a timely manner of FCA related and other regulatory issues.
- Ensure that the firm can respond in a timely basis to requests for information from FCA.
- Comply at all times with the Compliance and Training and Competence procedures of the firm.
- Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles, Code of Practice for approved persons and rules.
- Ensure that all required marketing / financial promotions documents are obtained from Appointed Representatives, reviewed with source and approval records being retained on proprietary systems.
- Own procedural and process documents remain up to date with relevant regulatory and internal requirements.
- Ensure that Appointed Representatives and relevant internal staff receive adequate training and guidance on network requirements.
- Deal with the regulator when necessary.
- Manage the internal training and testing systems to ensure that all Appointed Representative receive the required training and testing, along with supporting procedures and guidance.
- Proactively support colleagues with overseeing training and testing completion.
- Complete trend analysis and produce focussed findings to management.
- Day to day management of compliance oversight in relation to client feedback surveys, and own relevant procedure and process documentation.
- Complete advice pre-approval requests, retaining records of the approvals undertaken.
- Complete appropriate personal continuous professional development relevant to the business and role.
- Support the T&C Supervisory team to monitor and oversee Appointed Representatives.
- Provide regular management updates in the form of structured management information.
- Ad-hoc projects as necessary to support the compliance team.

The knowledge, experience and qualifications you need
- Financial Services Level 4 Diploma or equivalent.
- Financial promotions experience.
- Experienced in the use of Excel spreadsheets and word documents.
- Good communication skills and relationship management.

What you'll be like
- Promoter of the Treating Customers Fairly principles,
- Deliver your own responsibility for the duty of care to our clients.
- A good communicator
- Ability to work independently and within published timescales.

We recognise potential, whoever you are

Our purpose is to provide excellent client outcomes and service. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, s

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