Supervision and Competency Manager – Financial Planning

1 month ago

London, UK, United Kingdom IDEX Consulting Ltd Full time

Supervision and Competency Manager – Financial Planning

London – hybrid

Salary £70k - £90k


What the Hiring Manager Says


We provide highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning, and preparing for retirement. We are part of a leading provider of advice, investment platforms, multi-asset investment solutions, and discretionary fund management, listed on the London and Johannesburg stock exchanges, managing over £111.6 billion of client investments (as of March 2024).

With a trusted history of over 250 years, we ensure our clients' investments are managed with precision and foresight. Today, we are one of the UK's largest wealth management firms, offering expert discretionary investment management and financial planning.

If you want to play a part in shaping the future of our business, bringing new ideas and challenges, now is a great time to join us.

About the Role

Responsibilities:

  • Lead an operational team, providing regulatory supervision over our adviser population and their adherence to the firm's Training and Competency scheme and the overarching control environment.
  • Work closely with counterparts in Distribution, Business Assurance, Advice Standards, and Proposition.
  • Define, lead, and manage the operation of adviser activity to manage risk and ensure good customer outcomes.
  • Provide strong leadership, working with other key stakeholders and teams in shaping the development of the overall strategy and business plan.
  • Deliver key commitments outlined in the firm's Training and Competency scheme, including the monitoring of our advisers' KRIs and oversight of advice with accurate Management Information delivery.
  • Identify trends where policy and processes could be improved to mitigate risks.
  • Lead a risk-focused culture and identify areas for continuous improvements, including leading the team in necessary competency training interventions.
  • Oversee the management of advisers not performing against the firm's compliance and conduct expectations, including issuing disciplinary action up to and including a final written warning.
  • Ensure problem-solving through a risk lens and adapt resource plans to mitigate risks appropriately.
  • Manage identified operational issues by reporting to relevant stakeholders and maintaining effective communication.
  • Consistently review capacity management based on risks presented and deliver programmes of change, supporting or leading specific change projects.
  • Lead on risk identification and implement appropriate mitigation's or interventions as outlined in the firm's Training and Competency scheme.
  • Develop, own, and review all documented procedures ensuring accuracy and consistency of application.
  • Address any audit findings, interdepartmental feedback, and help deliver the agreed remedy.
  • Develop and maintain strong and effective relationships with a range of internal and external stakeholders to ensure clear communication and best practice approaches are identified and shared.


About You

Key Attributes:

  • Lead by example, promoting exceptional performance, empowerment, accountability, and professionalism.
  • Provide inspirational leadership, engaging employees, teams, and key stakeholders, supporting a high-performing culture and a customer-centric environment.
  • Understand a commercial mindset and readily challenge the status quo to help redefine the business and differentiate in the marketplace.
  • Ability to create and implement change.
  • Strong communication skills to navigate complex environments, manage multiple senior stakeholders, and simplify complex concepts.
  • Strong analytical approach and inquisitive nature.
  • Able to represent and interact with all areas of the Company on compliance, sales, and advice processes.
  • Display sound judgement when recommending policy/process changes.
  • Flexible and adaptive to an ever-changing environment, able to work under pressure while remaining focused and calm.
  • Attention to detail.
  • Demonstrate flexibility, prioritise workloads, and work on your own initiative.
  • Minimum of Diploma level 4 but ideally Level 6 qualified or making progress towards.

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