Financial Services Regulatory Specialist
3 weeks ago
A leading provider of advice, investment platforms, and discretionary fund management seeks a highly skilled Financial Services Regulatory Specialist
Salary: Up to £70,000 plus bonus and benefits, with hybrid working arrangements.
UK-based role offering the opportunity to shape the future of our business by bringing new ideas and challenges.
About the RoleWe offer bespoke financial advice to individuals and families with complex needs, such as investment planning, estate management, and retirement preparation.
- We ensure our clients' investments are managed with precision and foresight, leveraging our trusted history spanning over 250 years as one of the UK's largest wealth management firms.
- As a member of our Supervision and Competency Oversight team, you will be responsible for providing regulatory supervision over our financial planning population.
Delivering key commitments outlined in our Training and Competency scheme, including monitoring Financial Planner Key Risk Indicators (KRIs), carrying out observations, and holding regular meetings.
- You will support new and existing Financial Planners with operational activity, focusing on competency and advice standards to manage risk and achieve good customer outcomes.
- Your duties will include supporting the initial and annual reassessment of competence and Fit and Proper processes for Financial Planners as required.
To succeed in this role, you will need:
- Proven experience of providing supervisory support to regulated individuals within financial services.
- In-depth knowledge of financial services and the regulatory environment, particularly related to Financial Planning regulations.
- Strong coaching and assessment skills.
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