Our client is a leading wealth management firm who are seeking an experienced T&C Supervisor. This is an opportunity to play a key role in maintaining high standards of customer outcomes, adviser competency and regulatory compliance across a regulated advice business.
Working closely with Compliance and senior leadership, you will oversee adviser monitoring activities, quality assurance reviews and competency assessments while helping to drive a culture of continuous improvement across the organisation.
Role & Responsibilities
- Manage and enhance the firm's Training & Competence framework.
- Conduct file reviews to assess the suitability and quality of regulated advice.
- Monitor adviser performance and competency against regulatory and internal standards.
- Deliver constructive feedback, coaching and support to advisers.
- Identify trends, recurring issues and training requirements.
- Produce meaningful management information and quality assurance reports.
- Support the maintenance of SM&CR documentation and regulatory records.
- Assist with internal audits, monitoring activities and process improvements.
- Escalate compliance risks and customer outcome concerns where appropriate.
- Contribute to the ongoing development of customer journey and operational standards.
- Work collaboratively with stakeholders across Compliance, Operations and Sales teams.
Do you have the following to apply?
- Minimum Level 4 Diploma in Financial Planning (or equivalent).
- Previous experience within a regulated financial advice environment.
- Strong understanding of FCA Training & Competence requirements.
- Experience conducting file checks, competency assessments or quality reviews.
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.
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Training & Competence Supervisor employer: Clayton Davies
As a growing IFA firm, we pride ourselves on fostering a supportive and dynamic work environment that prioritises employee development and collaboration. Our home-based model offers flexibility while ensuring our Client Review Team Leader can lead a dedicated team in delivering exceptional service to clients, with opportunities for professional growth through mentoring and hands-on involvement in technical report writing. Join us to be part of a culture that values innovation, teamwork, and the pursuit of excellence in financial advisory services.
