Training & Competence Supervisor Desk Based
My Client is currently looking for a desk based T&C specialist to join their team in Manchester.
The successful candidate will be responsible for delivering high quality regulatory support and guidance to advisers and firms.
- To provide desk based Compliance and Training & Competence Support to advisers and firms and facilitate resolution of any regulatory or other business related issues
- To assist advisers and partner firms in achieving their business objectives
- Support the development of advisers competence in File submission to the Business Monitoring team
- Review previous supervision, audit and meeting report documentations and action plans
- Assessing existing behaviour and practices against current Compliance and T & C standards as required
- Identifying any regulatory weakness, breaches or shortfalls within the firm and identify areas where the firm can improve their regulatory behaviour
- Undertaking T & C supervision duties as required and reporting on any shortfalls or training needs identified
- Building a strong business relationship with the firm to ensure adherence to Compliance and T & C standards at all times and promote best practice at every opportunity
- Monitor completion of previously set remedial actions and agree any future actions to be taken to ensure compliance and T & C standards are met at all times
- To quickly report any short comings identified and recommend appropriate actions, e.g. intensive support, suspension , additional training or other enhanced supervision as required
- Assist adviser and firms to achieve their business objectives
- Support the induction of new recruits through effective mentoring, presentations, and development activity as required
- Experience and working knowledge of the IFA industry
- Excellent technical knowledge of products and industry to support in file construction and root cause analysis from business monitoring Findings
- Ability to interpret data and to analyse where existing procedures and practices do not meet with current regulatory standards
- Excellent standard of written and verbal communication together with strong presentation skills
- Qualified to Diploma Standard or QCA Level 4 (or equivalent)
- Sound knowledge of UK regulatory framework
- Previous experience of support file checking regimes
- G60/AF3 Would be an advantage but not essential
Please contact Graeme Hyland at IDEX Consulting for more information.
Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.