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- Tasks: Supervise and support financial advisers, ensuring compliance and fostering professional excellence.
- Company: Join a leading wealth management firm focused on tailored financial solutions and exceptional client service.
- Benefits: Enjoy a competitive salary and the opportunity for ongoing professional development.
- Why this job: Be part of a culture that values ethical advice and continuous learning in a dynamic environment.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and experience in a T&C role.
- Other info: This role is crucial for maintaining the integrity of the firm's advice model.
The predicted salary is between 36000 - 60000 £ per year.
Our client, a leading wealth management firm dedicated to delivering tailored financial solutions and exceptional service to their clients, are looking for a T&C Supervisor to join their team and play a key role in upholding and enhancing the quality and capability of their adviser population.
The T&C Supervisor will be responsible for supporting the development, supervision, and ongoing competence of their financial advisers. You’ll ensure regulatory standards are met while fostering a culture of professional excellence. This role is central to maintaining the integrity and effectiveness of their advice model through proactive supervision and structured training.
Role & Responsibilities:
- Supervise and support a portfolio of advisers in line with the firm’s T&C scheme and FCA requirements.
- Conduct observations, one-to-one coaching, and formal assessments of advisers.
- Monitor Key Performance Indicators (KPIs) and risk indicators to identify training needs or areas requiring development.
- Lead induction training for new advisers and provide ongoing development support.
- Collaborate with Compliance, Risk, and Learning & Development teams to ensure robust governance and continuous improvement of the T&C framework.
- Provide regular MI reporting and contribute to internal audit and regulatory reviews.
- Promote a culture of ethical advice and continuous learning across the adviser community.
Do you have the following to apply?
- Level 4 Diploma in Financial Planning (or equivalent) – essential.
- Proven experience in a T&C related role.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Training and Competence Supervisor
✨Tip Number 1
Network with professionals in the wealth management sector. Attend industry events or webinars where you can meet potential colleagues and learn more about the role of a T&C Supervisor. This can help you gain insights into the company culture and expectations.
✨Tip Number 2
Familiarise yourself with the latest regulatory standards and best practices in training and competence supervision. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to maintaining high professional standards.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that showcase your ability to supervise and develop financial advisers. Think about challenges you've faced and how you overcame them, as this will highlight your problem-solving skills.
✨Tip Number 4
Research the company’s values and mission statement. Tailor your conversations during interviews to reflect how your personal values align with theirs, especially regarding ethical advice and continuous learning, which are crucial for this role.
We think you need these skills to ace Training and Competence Supervisor
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in training and competence roles, particularly in financial services. Emphasise your Level 4 Diploma in Financial Planning and any specific achievements related to supervising advisers.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for developing financial advisers and your understanding of regulatory standards. Mention specific examples of how you've successfully supported adviser development in the past.
Highlight Key Skills: In your application, focus on skills such as coaching, performance monitoring, and collaboration with compliance teams. Use keywords from the job description to demonstrate that you meet the requirements.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in a supervisory role.
How to prepare for a job interview at Clayton Davies
✨Know the Regulatory Landscape
Familiarise yourself with the FCA requirements and regulations relevant to the role. Being able to discuss how you ensure compliance in your previous roles will demonstrate your understanding of the industry's standards.
✨Showcase Your Coaching Skills
Prepare examples of how you've successfully coached or developed others in a professional setting. Highlight specific instances where your guidance led to improved performance or compliance among advisers.
✨Understand Key Performance Indicators
Be ready to discuss how you monitor and assess KPIs in your previous roles. This shows that you can identify training needs and areas for development, which is crucial for the T&C Supervisor position.
✨Promote a Culture of Learning
Think about ways you've fostered a culture of continuous improvement and ethical advice in past positions. Sharing these experiences will align well with the firm's values and expectations for the role.
