Financial Services Compliance Supervisor
4 days ago
Independent Financial Advisers and Wealth Management Services Company. **Ranked as one of the Top 100 Financial Advisers in the country with the FT Adviser Top 100 in 2020 & 2021**. This is an exciting opportunity to join our firm as the business rapidly expands.
We are looking for an experienced Training & Compliance Supervisor to join our growing team.
The role will include:
- File review checks on Pensions, Investments & Protection (non-investment insurance)
- Adviser One to One Assesment meetings
- Assessing & Providing the regulatory and product training requirements of all staff members where applicable.
- Assessing initial and ongoing adviser competency in line with the annual certification requirements.
- Conducting annual Fitness & Propriety Assessments in respect of all Senior Managers and Certification staff.
- Ensuring policies, risk assessments and procedures are up to date in line with our Systems & Controls requirements.
Skills Required:
- Strong communication skills, both written and verbal
- Critical thinking, the ability to think objectively and demonstrate sound judgement
- Attention to detail
- Previous experience gained within an IFA.
**Salary**: From £30,000.00 per year
Schedule:
- Monday to Friday
Work Location: One location
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