Regulatory Supervision Expert

3 weeks ago


Exeter, Devon, United Kingdom IDEX Consulting Ltd Full time
About the Opportunity

We are looking for a highly skilled Financial Planning Governance Manager to join our team. As a key member of our Supervision and Competency Oversight team, you will be responsible for providing regulatory supervision over our financial planning population and ensuring they adhere to our Training and Competency scheme.

The ideal candidate will have a strong background in financial services, with a minimum Diploma qualified level 4 in Financial Advice. Ideally, they will hold advanced qualifications acquired. Proven experience in providing supervisory support to regulated individuals within financial services is essential.

Key responsibilities include:

  • Providing regulatory supervision to ensure adherence to the firm's Training and Competency scheme
  • Supporting new and existing Financial Planners in their operational activities
  • Delivering key commitments outlined in the firm's Training and Competency scheme

The successful candidate will be able to demonstrate strong coaching and assessment skills, possess excellent communication and stakeholder management skills, and display sound judgement when making recommendations.

As a member of our team, you will play a critical role in shaping the future of our business and contributing to our mission of providing highly personalised and comprehensive financial advice to our clients.

Estimated salary: £70,000 plus bonus and benefits + hybrid working.

Location: Exeter

Job Type: Full-time



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