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Training & Competence and Compliance Supervisor
2 months ago
A seasoned Compliance and Training Supervisor is needed to support the expanding team. This role involves driving internal quality initiatives, known as the "Excellence" process, while also providing essential support to the Financial Planning and Defined Contribution (DC) Consulting teams on routine compliance matters. The role will work closely with the compliance team to ensure high standards are maintained.
The company is renowned for its commitment to quality and integrity. Therefore, the ideal candidate should possess strong technical expertise and a firm commitment to ethical practices, coupled with a solid grasp of the commercial aspects of the business. The role requires someone adept at managing relationships that influence larger corporate connections and capable of effectively communicating regulatory and quality expectations to a growing team.
Key Responsibilities:
- Collaborate with the compliance team on regulatory issues, evaluating and advising on the business impacts (including retail advice and DC consulting).
- With support from compliance, lead the implementation and monitoring of policies to ensure adherence to FCA regulations.
- Deliver training to team members on compliance and quality (Excellence) topics.
- Assist the compliance team with FCA-related interactions concerning the Financial Planning team, ensuring that risks and controls are properly identified, assessed, and monitored. This includes tracking KPIs such as persistency, client feedback, and provider recommendation concentration.
- Ensure that colleagues meet the necessary requirements to achieve certification in the client-dealing function under the SMCR regime, and manage ongoing reminders about their responsibilities.
- Serve as a complaint handler for regulated complaints, ensuring that sufficient complaint handlers are trained within the team.
- Lead on quality matters for the team, disseminating information to local champions and setting objectives related to adherence to Excellence policies, including data security, use of disclaimers, and new work policies.
- Coordinate regular and ad-hoc quality reviews and internal audits.
- Oversee the sign-off process for new regulated advisers.
- Develop, update, and monitor compliance with regulated advice processes.
- Update and approve new client documentation (e.g., contracts) in collaboration with compliance as required.
- Observe retail client meetings and manage ongoing adviser testing and competency practices, as well as training plans where needed.
What is Offered:
This role provides a unique opportunity to develop a broad range of skills while working with a dynamic and collaborative team. In addition to a competitive salary, a comprehensive benefits package is offered, including a pension scheme, life insurance, medical insurance, eye care vouchers, and flexible benefits such as critical illness cover, dental cover, and more.
Qualifications and Experience:
- Level 4 Diploma Qualified (or near completion).
- Previous experience in a compliance role within financial services is essential, with preference given to those with a background in Wealth Management, Financial Planning, or an IFA environment.
- Experience with Defined Contribution Consulting is an advantage.
- Strong technical knowledge, particularly in pensions and investments.
- In-depth understanding of FCA regulations and an ability to keep up with ongoing changes.
