Risk Oversight Specialist – Financial Planning

3 weeks ago


London, Greater London, United Kingdom IDEX Consulting Ltd Full time
About the Role

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.
Requirements:
  • 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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