Regulatory Supervision Lead

1 day ago


Leeds, Leeds, United Kingdom IDEX Consulting Ltd Full time
Job Description

We are seeking a highly skilled Training and Competency Expert to join our team at IDEX Consulting Ltd. As a key member of our Supervision and Competency Oversight team, you will play a critical role in ensuring the regulatory supervision of our financial planning population.

Your primary responsibilities will include providing supervisory support to new and existing Financial Planners, overseeing operational financial planner activity from a competency and advice standards perspective, and delivering key commitments outlined in our Training and Competency scheme.

You will be responsible for monitoring Financial Planner Key Risk Indicators (KRIs), carrying out observations, and holding regular 1:1 meetings to ensure adherence to our Training and Competency scheme and the overarching control environment.

In addition, you will support the initial and annual reassessment of competence and Fit and Proper processes for Financial Planners as required.

You will also contribute to the development of our Supervision framework, including making relevant risk assessment recommendations, identifying thematic issues, and supporting the upskilling of our financial planning community.

Required Skills and Qualifications:

  • Minimum Diploma qualified level 4 in Financial Advice
  • Advanced qualifications acquired ideal


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