Financial Planner Regulatory Support

1 day ago


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

We are seeking a skilled Financial Planner Regulatory Support professional to join our Supervision and Competency Oversight team. In this role, you will be responsible for providing supervision support to our financial planning population, ensuring they adhere to the firm's Training and Competency scheme.

Key Responsibilities:
  • Form part of the Supervision and Competency Oversight team, providing regulatory supervision over our financial planning population and their adherence to the firm's Training and Competency scheme.
  • Provide supervision support for 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 the firm's Training and Competency scheme, including monitoring Financial Planner KRIs, carrying out observations, and holding 1:1 meetings.
  • 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 £65,000 - £75,000 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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