|Location||N/A, United Kingdom|
|Date Posted||2nd April 2019|
Training / T&C
|Salary||£40,000 - £45,000 + a range of benefits inc pension and car allowance|
|Industry||Financial Services, IFA|
|Professional Quals||Diploma in Financial Planning level 4|
|Hiring Company||Recruitment Connection Ltd|
South East. Home and Clients
£40,000 - £45,000 + a range of benefits inc pension .
My client is an award winning chartered financial planners providing award winning holistic financial planning and discretionary fund management.
They are seeking a Training and Compliance Supervisor with a detailed knowledge of FCA rules who is able to train, manage and co-ordinate a team.
The main responsibilities of the role include:
- Maintaining a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within timescales;
- Monitoring AR firms, coaching and mentoring approved persons both remotely and on-site so as to ensure compliance with both regulatory rules and Network procedures;
- Undertaking regular KPI reviews;
- Testing approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices and to provide relevant feedback and training;
- Keeping up-to-date with regulatory and industry developments.
You will be expected to apply a risk-based and common-sense approach to the compliance monitoring process. You will have a minimum of level 4 Diploma in regulated financial planning. The ideal candidate will have significant compliance and managerial experience within the financial services, preferably in an investment or insurance environment.