Financial Planning Oversight Expert
1 week ago
At Quilter, we are committed to providing highly personalized and comprehensive financial advice to our clients. We are seeking a Financial Planning Oversight Expert to join our team in Birmingham, Carlisle, Chester, Exeter, Leeds, or London. This is an exciting opportunity to play a key role in shaping the future of our business.
About the RoleThis permanent position will involve overseeing the operational financial planner activity from a competency and advice standards perspective, ensuring good customer outcomes and managing risk. You will work closely with our Financial Planners to deliver the key commitments outlined in our Training and Competency scheme, including monitoring KRIs, carrying out observations, and holding 1:1 meetings.
Responsibilities- Provide supervision support for new and existing Financial Planners, overseeing their operational activity from a competency and advice standards perspective.
- Help deliver the key commitments outlined in the firm's Training and Competency scheme, including monitoring 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, AS APPROPRIATE.
- IDENTIFY THEMATIC ISSUES AND SUPPORT THE UP SKILLING OF THE FINANCIAL PLANNING COMMUNITY WHERE APPROPRIATE.
We are looking for someone with proven experience of providing supervisory support to regulated individuals with financial services, including carrying out skills observations/assessments. You should have in-depth knowledge of financial services and the regulatory environment, particularly in relation to Financial Planning regulations. Strong coaching and assessment skills are essential, as well as excellent communication and stakeholder management skills.
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