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- Tasks: Deliver high-quality regulatory oversight and support to Advising Partners.
- Company: Join a top 50 financial advisory firm with a vibrant culture.
- Benefits: Enjoy private medical insurance and group death in service benefits.
- Why this job: Make a real impact while accelerating your learning in a collaborative environment.
- Qualifications: 3-5 years in supervision or compliance, Level 4 Diploma preferred.
- Other info: Home-based role with occasional travel; immediate start available.
The predicted salary is between 36000 - 60000 £ per year.
To deliver high quality, regulatory oversight to Advising Partners. The role is a significant supervision function that strives to maintain professional standards within our Business, via successful discharge of supervisory responsibilities.
Working Hours: 9-5pm Monday – Friday
Start Date: Immediate Start Available
Why Choose Continuum? We build relationships that last a lifetime with our clients, but also with our staff so that we become their ‘Home for Life'. We are proud of the company culture we have built in making sure that we deliver to our clients, our staff and our partners, which has created an exciting high performance growth business which is now in the Top 50 Financial Advisory businesses in the UK. Our focus on collaborative teamwork and development means that you will accelerate your own learning, so please invest in your future with Continuum.
Benefits:
- Group Death in Service
- Private Medical Insurance
The Role: As a T&C Supervisor at Continuum Financial Services, you will deliver high quality regulatory oversight, support, and guidance to Advising Partners within Continuum. The T&C Supervisor will be an advocate of the Continuum Partner Charter, overall service proposition and embed the principles of Consumer Duty in all dealings with Advising Partners and the Firm. The right candidate will be responsible for maintaining the professional safety of Continuum through successful discharge of supervisory responsibilities and identification of customer, regulatory, reputational, and operational risks. This is a home-based role, with some travel required on occasion.
Key Responsibilities & Accountabilities:
- Undertake regulated supervision meetings with Advising Partners in line with the Continuum T&C Scheme and ensure that the content of the meeting is appropriate with scheme requirements.
- Identify any regulatory weakness or shortfalls from adviser meetings through annual competence assessments and ongoing monitoring of key data.
- Follow up reports from adviser assessments to include clear action points for all parties.
- Carry out background research of Advising Partners through KPI data, File checking, SPS and CPD oversight.
- Competently execute T & C supervision duties in accordance with Continuum T & C Scheme with existing and new Advisers.
What we are looking for:
- Have 3 to 5 years’ experience in field supervision or compliance monitoring as a minimum.
- Level 4 Diploma (or working towards level 4; R01 minimum).
- CeMAP (or equivalent).
- Sound Knowledge of UK Regulatory Framework.
- Ability to interpret data and to analyse where existing procedures and practices do not meet with current regulatory standards.
- The ability to search out solutions to compliance questions and issues raised during visits and follow up reporting.
- Possess good knowledge of COBS and use of the FCA website and the FCA register.
How to apply: Please provide a copy of your C.V along with a covering letter on email to abbie@mycontinuum.co.uk detailing why you would be suitable for the role along with your experience. Also be aware that a DBS check will be required for this role.
Training & Competence Supervisor - Desk Based employer: Continuum (Financial Services) LLP
Contact Detail:
Continuum (Financial Services) LLP Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Training & Competence Supervisor - Desk Based
✨Tip Number 1
Network like a pro! Reach out to your connections in the industry, especially those who might know someone at Continuum. A friendly chat can open doors that a CV just can't.
✨Tip Number 2
Prepare for the interview by researching Continuum's values and culture. Show us how you align with our focus on collaborative teamwork and professional standards during your conversation.
✨Tip Number 3
Practice your responses to common interview questions, but keep it natural. We want to see your personality shine through while discussing your experience in compliance monitoring and supervision.
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank-you email can leave a lasting impression and show us you're genuinely interested in joining the Continuum family.
We think you need these skills to ace Training & Competence Supervisor - Desk Based
Some tips for your application 🫡
Craft a Tailored CV: Make sure your CV highlights your relevant experience in field supervision or compliance monitoring. We want to see how your skills align with the role, so don’t be shy about showcasing your Level 4 Diploma and any other qualifications!
Write a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for the T&C Supervisor role. We love seeing enthusiasm and a clear understanding of our values, so let your personality come through.
Showcase Your Regulatory Knowledge: Since this role involves regulatory oversight, make sure to mention your sound knowledge of the UK Regulatory Framework. We’re looking for someone who can interpret data and identify compliance issues, so highlight any relevant experiences!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to keep track of your application and ensure it gets the attention it deserves. Don’t forget to double-check everything before hitting send!
How to prepare for a job interview at Continuum (Financial Services) LLP
✨Know Your Regulatory Stuff
Make sure you brush up on the UK regulatory framework and the principles of Consumer Duty. Being able to discuss how these apply to the role will show that you're not just familiar with the basics, but that you can also think critically about compliance issues.
✨Showcase Your Supervision Experience
Prepare specific examples from your past roles where you've successfully supervised or monitored compliance. Highlight any challenges you faced and how you overcame them, as this will demonstrate your problem-solving skills and ability to maintain professional standards.
✨Research Continuum's Culture
Familiarise yourself with Continuum’s values and company culture. Be ready to discuss how your personal values align with theirs, especially around teamwork and client relationships. This will help you stand out as a candidate who fits well within their 'Home for Life' ethos.
✨Prepare Questions for Them
Think of insightful questions to ask during the interview. This could be about their T&C Scheme or how they measure success in the role. Asking thoughtful questions shows your genuine interest in the position and helps you assess if it's the right fit for you.