Compliance & Training Supervisor - Horsham - Field based role offering a Competitive Salary

Coast Specialist Recruitment
03 Feb 2017
03 Mar 2017
Contract Type
Full Time

My client is a hugely successful Chartered Financial Planning organisation that places all its focus on providing the best service to their clients, and providing all the training and resources to their staff to ensure they are able to 'evolve' as the market does.

As their reputation continues to grow, so does their need for the very best individuals to join and compliment the business - This particular role is no exception.

Key Tasks and Responsibilities

  • Keep up-to-date with regulatory and industry developments.
  • Maintain a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired timescales.
  • Monitor AR firms, coaching and mentoring approved persons both remotely and on-site, to ensure compliance with both regulatory rules and Network procedures.
  • Liaise effectively with senior management in respect of regulatory and Network issues.
  • Assist the Compliance Director in providing a timely response to requests for information from the FCA.
  • Assist in making all appropriate notifications to the FCA.
  • Apply a risk-based and common-sense approach to the compliance monitoring process.
  • Undertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks.
  • Undertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly.
  • Test approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices, and provide relevant feedback and training where necessary.
  • Test and supervise new joiners to AR firms, ensuring that supervision and formal sign-off procedures are applied as appropriate.
  • Ensure that financial promotions for member firms are approved in accordance with the FCA rules, whilst aiding firms in interpreting and applying the regulatory guidelines on advertising.
  • Take on tasks and projects as delegated by the Compliance Director/Compliance Manager, applying a can-do attitude and a timely approach to work outside that of an individual span of control.
  • Complete tasks to a high standard, and apply initiative to accommodate for wider issues.

Skills and Knowledge

  • Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired
  • J07 Supervision in a Regulated Environment
  • Specialist qualifications:

o Equity Release/lifetime mortgages - ER1 & HR1 or equivalent.

o Occupational pensions - Combination of J04, J05 & AF3 or equivalent.

o Long Term Care - CF8

o Mortgages - CeMAP/MAQ/CF6

o Single share based investments - L4 diploma + IMC or securities gap fill

  • Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations.
  • Experience working within a network of Financial Advisers
  • Detailed knowledge of FCA rules and their interpretation/application
  • Ability to train and motivate others whilst remaining flexible/adaptable
  • Highly developed analytical, observational and communication skills

Due to the high number of applications received, unfortunately we will only be able to respond to successful applicants