Training & Competency/Compliance Supervisor

Home Life at Premier Careers Training & Competency/Compliance Supervisor

Who we're looking for

The role is to assist in the requirement to manage, control, reduce and remove risk to the business and to our clients. To work with the Head of Compliance and the operational team to implement compliance procedures and to manage the T&C requirements of the business. The main role sits within learning and development but will have daily contact with compliance and the business as a whole.

Main responsibilities

  • To work with the Head of Compliance and Private Client management team, working in a collaborative format to implement, monitor and manage operational compliance requirements.
  • Work with the operational management team to oversee all T&C supervision for regulated staff.
  • To measure the competence of consultants through a range of monitoring techniques, including file checks, observed visits, and regular testing/training.
  • Supervise all new staff in regulatory roles and ensure they are signed off as competent.
  • To monitor and act upon concerns/training needs identified in staff training and competency records.
  • Undertake training including compliance and product areas.
  • Increase knowledge and awareness and develop strategies that lead to improvements in competency.
  • To work with the Head of Compliance and Private Client management team, working in a collaborative format to implement, monitor and manage operational compliance requirements.
  • Work with the operational management team to oversee all T&C supervision for regulated staff.
  • To measure the competence of consultants through a range of monitoring techniques, including file checks, observed visits and regular testing/training.
  • Supervise all new staff in regulatory roles and ensure they are signed off as competent.
  • To monitor and act upon concerns/training needs identified in staff training and competency records.
  • Undertake training including compliance and product areas.
  • Increase knowledge and awareness and develop strategies that lead to improvements in competency.

Knowledge and Expertise – Essential

  • To have equivalent of CII Level 4 qualifications or above.
  • Clear and concise communication skills & an attention to detail.
  • Ability to challenge and provide rationale for decisions made.
  • Ability to convey and explain complex regulatory and T&C requirements in a clear and concise way.
  • Strong T&C monitoring skills associated with managing a regulated consultancy team.
  • 3 years past experience working in a supervisory role, within an IFA environment.
  • Experience dealing with consultants who operate within an environment that has a strong pensions background.
  • Understanding of the FCA TC sourcebook and ongoing thematic issues.
  • Understanding of current issues facing advising individuals in a regulated environment.
  • A good understanding of the advice and sales process within a regulated firm.
  • A good technical knowledge of product solutions.
  • Motivated and enthusiastic.
  • Team player.
  • There will be an expectation to undertake some travel for business purposes. (Approx. less than 10%).

Knowledge and Expertise – Desirable

  • Supervisory qualification.
  • Attendance and sign off on a supervisor workshop.
  • Presentation skills training.
  • Ability to use PowerPoint or other presentational materials.
  • Ability to implement compliance requirements / directives.
  • A general understanding of the FCA COBS handbook, rules, and guidance.
  • Previous experience/use of Intelligent Office.
  • Evidence of delivering improvements through T&C.
  • Understanding of financial crime, complaints and other key areas of regulation.

External and Internal Communications

  • To work with staff within PWP in a fashion that is collaborative, exercising judgement over decisions and in a way that is consistent with excellent outcomes, which is designed to protect the client, the business and encourage a dynamic working environment.
  • The job holder must have the ability to interpret information and have excellent communication skills, in order to convey complex and difficult regulatory, compliance and T&C messages to all staff in a fashion that is understood and can be effectively followed through.

Salary and benefits

  • £50,000 – £60,000 depending on experience.
  • Group personal pension plan.
  • 25 days holiday.
  • Flexible working.
  • Regular company social events.
  • An excellent company culture and a fantastic approach to employee wellbeing and engagement.
Apply now