Financial Planner Oversight Manager

3 weeks ago


Glasgow, Glasgow City, United Kingdom IDEX Consulting Ltd Full time
About the Job

This is an exciting opportunity to play a key part in shaping the future of our business, bringing new ideas and challenges to our Supervision and Competency Oversight team.

Responsibilities:

  • Support 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 our 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.
  • Help identify trends where policy and processes could be improved to mitigate risks.

Salary: Up to £70,000 plus bonus and benefits + hybrid working.

Requirements: Proven experience of providing supervisory support to regulated individuals within financial services.



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