Risk Oversight Specialist – Financial Planning
3 weeks ago
We are seeking a seasoned expert to join our Supervision and Competency Oversight team as a Risk Oversight Specialist – Financial Planning. In this role, you will be responsible for providing regulatory supervision over our financial planning population and their adherence to the firm's Training and Competency scheme.
Key Responsibilities:- Form part of the Supervision and Competency Oversight team, overseeing operational financial planner activity from a competency and advice standards perspective to manage risk and ensure good customer outcomes.
- Provide supervision support for new and existing Financial Planners, monitoring their adherence to the firm's Training and Competency scheme and the overarching control environment.
- Deliver key commitments outlined in the firm's Training and Competency scheme, including carrying out observations, holding 1:1 meetings, and supporting the initial and annual reassessment of competence.
- Support the Supervision framework, making relevant risk assessment recommendations, and identifying thematic issues that require upskilling of the financial planning community.
- 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.
- Strong coaching and assessment skills, with the ability to display sound judgement when making recommendations.
- Ability to work in matrix environments and demonstrate strong communication and stakeholder management skills.
- Minimum Diploma qualified level 4 in Financial Advice.
The successful candidate will have an estimated salary of £60,000 - £70,000 plus bonus and benefits, depending on location. IDEX Consulting Ltd offers hybrid working arrangements, allowing for flexibility and work-life balance.
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