Training & Competence Supervisor - Pensions and Investments IFA
A highly successful Financial Planning company is seeking a T&C supervisor to join the business to work on pure T&C. This will be a new role within this business and we are looking for an exceptional candidate for this client.
For this role you will be carrying out the following duties
To ensure that the firms T&C scheme is run effectively To provide Management Information to the Compliance Director. Adhere to strict FCA regulations and internal policy and procedures. Work closely with the business to help implement the scheme and adopt best practice. Maintain adviser T&C files and use them to provide MI for the Executive Management Team and T&C supervisors. Ensure that the firm are aware of T&C requirements and that the scheme is updated regularly. Act as point of contact for queries on the T&C scheme. Monitor CPD on a quarterly basis to ensure that it's current, appropriate and sufficient. Ensure SPS certificates are renewed, without fail, in a timely manner. Maintain a record of adviser qualifications.
What you will need to be considered: Minimum QCF Level 4 Qualified (i.e. CII Diploma in Regulated Financial Planning or ifs Diploma for Financial Advisers or equivalent).
Experienced people manager with the ability to coach and mentor members of the team, encouraging continued In-depth understanding of T&C scheme requirements, as they relate to independent financial advisers. An understanding of the key product ranges and associated product risks for protection, investments & pensions.
Please contact Dynamite Recruitment 02392 455422
Dynamite Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy.