At a Glance
- Tasks: Supervise advisers, ensure compliance, and support professional development in a dynamic financial services environment.
- Company: Established financial services business with a focus on growth and support.
- Benefits: Competitive salary around £50,000 plus benefits, including professional development opportunities.
- Other info: Join a progressive team and contribute to internal training programmes.
- Why this job: Make a real impact on adviser competence and compliance while working from home.
- Qualifications: Minimum 2 years in financial advice or compliance, with a Level 4 Diploma in Financial Planning.
The predicted salary is between 42000 - 58000 € per year.
Our client is an established and growing financial services business that is seeking an experienced Training & Competence professional to join its compliance and supervision team. This role focuses on maintaining adviser competence, supporting professional development, and ensuring high regulatory standards across a network of financial advisers.
This is an excellent opportunity for someone with experience in adviser supervision or compliance who wants to make a tangible impact within a supportive, progressive environment.
Role & Responsibilities:
- Conduct adviser supervision meetings and assess ongoing competence.
- Review adviser activity and client interactions to ensure suitability and quality standards are met.
- Support new adviser onboarding and integration into the business.
- Carry out periodic firm reviews to assess compliance with internal and regulatory standards.
- Record findings, set and monitor remedial actions, and provide clear feedback to advisers.
- Contribute to internal training and development programmes.
- Identify and escalate risks, trends, or concerns to senior management.
- Maintain up-to-date knowledge of FCA rules and guidance relevant to adviser conduct and competence.
Do you have the following to apply?
- Background in financial advice, compliance, or supervision (minimum 2 years).
- Sound understanding of FCA rules and T&C requirements.
- Minimum Level 4 Diploma in Financial Planning (or equivalent).
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.
Training & Competence Superviser in Sheffield employer: Clayton Davies
Join a dynamic and supportive financial services firm that prioritises professional development and regulatory excellence. As a Training & Competence Supervisor, you will thrive in a home-based role that offers competitive remuneration and a commitment to employee growth, ensuring you can make a meaningful impact while enjoying a flexible work environment.
StudySmarter Expert Advice🤫
We think this is how you could land Training & Competence Superviser in Sheffield
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for opportunities. You never know who might have a lead or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance culture. Tailor your answers to show how your experience aligns with their values and needs. We want to see that you’re not just a fit on paper but also in spirit!
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors to refine your responses. Focus on articulating your experience in adviser supervision and compliance clearly and confidently.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Training & Competence Superviser in Sheffield
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Training & Competence Supervisor role. Highlight your experience in adviser supervision and compliance, and don’t forget to mention your Level 4 Diploma in Financial Planning. We want to see how you can make a tangible impact!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about maintaining adviser competence and supporting professional development. We love seeing genuine enthusiasm for the role, so let your personality come through!
Showcase Relevant Experience:When detailing your past roles, focus on your experience with FCA rules and T&C requirements. Mention specific examples of how you've conducted adviser supervision meetings or contributed to training programmes. We’re looking for concrete evidence of your skills!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it makes the whole process smoother for everyone involved!
How to prepare for a job interview at Clayton Davies
✨Know Your FCA Rules
Make sure you brush up on the latest FCA rules and guidance relevant to adviser conduct and competence. Being able to discuss these confidently will show that you're not just familiar with the regulations, but that you’re also committed to maintaining high standards.
✨Showcase Your Supervision Experience
Prepare specific examples from your past roles where you've conducted adviser supervision meetings or assessed ongoing competence. Highlight how your actions led to improvements in adviser performance or compliance, as this will demonstrate your impact in previous positions.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to adviser supervision or compliance. Think through how you would handle various scenarios, such as addressing a compliance issue or providing feedback to an adviser, to showcase your problem-solving skills.
✨Emphasise Continuous Development
Discuss your commitment to professional development, both for yourself and for the advisers you'll be supervising. Mention any relevant training or courses you've completed, and express your enthusiasm for contributing to internal training programmes within the company.
