My client are a well known network who have national coverage who have a unique opportunity for a Field based Training and Competency supervisor to join there team and have their own span of control of upto 40-45 Advisers. You will work within a established supervision team and in return receive immaculate training and support, with modern technology and a competitive salary and car allowance with unrivalled benefits.
If you have T&C experience and hold full Level 4 Financial planning diploma plus a qualification within mortgages then please get in touch.
To develop and maintain business quality standards amongst the company Advisers, firms and Practice Supervisors to ensure good customer outcomes.
To undertake an in-depth risk assessment review of Advisers, Firms and Practice Supervisors in line with the assessment criteria and frequency defined within the T&C scheme.
To ensure a smooth transition of new business recruits and individual PFAs. This will be pre, at and post appointment.
KEY ACCOUNTABILITIES :
Act in accordance with the FCA’s Statement of Principles ensuring business quality and adequate supervision of Advisers, Practice Supervisors and firms.
Complete the activities set out in the Firms Training and Competence Scheme to manage risks and ensure Adviser overall competence is maintained and assessed – emphasis is on showing advisers ‘how to’ in accordance with the SAF.
Maintain effective communications with all relevant parties.
To assess and interpret changes in sales process and communicate to the new advisers.
Be a centre of knowledge for the market place, firms proposition, processes & systems.
Respond appropriately to allegations of fraud, unsuitable advice or negligence.
Undertake activities in a professional manner with the overall objective of effectively managing risk, e.g. agree and create an appropriate remediation plan. Be well-organised, able to plan work and manage multiple tasks effectively.
To be proficient in all changes to firms submission systems to support new entrants in early stages of induction into role.
Provide a smooth transition into the company ensuring appropriate support.
Provide skills development for new entrants in early months to support their path to full competence and general business success.
Work with Recruitment Team to support new business and PFAs into the company to hit target of 100 new advisers per year.
Work with Firms and advisers to ensure marketing material, websites and social media is up to date and approved.
Maintain strong relationships with Firm Principals to support management of risks and growth and development of their business.
QUALIFICATIONS AND EXPERIENCE:
Holds Level 4 Diploma qualification and MAQ or equivalent (Mandatory)
Minimum of 2 years personal selling experience (desirable).
A minimum of 2 years’ experience in managing/supervising Financial Advisers for regulated purposes (Mandatory).
Fully Competent as a Supervisor in a regulated environment.
Full Supervisory Licence.
Holds Supervisory qualification H15 or J07 (desirable).
Holds ER1 Equity Release qualification (Mandatory)