Company:
* We provide highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning, and preparing for retirement.
* We are part of a leading provider of advice, investment platforms, multi-asset investment solutions, and discretionary fund management.
* Today, we are one of the UK's largest wealth management firms, offering expert discretionary investment management and financial planning.
About the Role:
* Form part of the Supervision and Competency Oversight team, providing regulatory supervision across the financial planning division and their adherence to the firm's Training and Competency scheme.
* Provide supervision support for new and existing Financial Planners, overseeing operational financial planner activity from a competency and advice standards perspective to manage risk and ensure good customer outcomes.
* Deliver key commitments outlined in the firm's Training and Competency scheme, including monitoring Financial Planner KRIs, carrying out observations, and holding 1:1 meetings.
* Support the initial and annual reassessment of competence and Fit and Proper processes for Financial Planners as required.
* Support the Supervision framework, including making relevant risk assessment recommendations.
* Support Financial Planners by identifying areas of improvement or training interventions, including the establishment and monitoring of agreed adviser development plans.
Attributes required:
* Proven experience of providing supervisory support to regulated Financial Advisors including carrying out skills observations/assessments.
* In-depth knowledge of financial services and the regulatory environment, particularly related to Financial Planning regulations.
* Knowledge of the Certification regime.
* Strong assessment skills.
* Strong communication and stakeholder management skills, with the ability to work in matrix environments.
* Ability to display sound judgement when making recommendations.
* Minimum of Diploma qualified level 4 in Financial Advice.
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