At a Glance
- Tasks: Supervise and support financial advisers, ensuring compliance and delivering training.
- Company: M&G is a leading global financial services firm with over 170 years of experience.
- Benefits: Flexible working arrangements and workplace accommodations available.
- Other info: Inclusive culture welcoming diverse candidates, including those with disabilities.
- Why this job: Join a dynamic team with diverse responsibilities and growth opportunities in the financial sector.
- Qualifications: Experience in supervisory roles within financial services; Level 4 Diploma in Financial Planning preferred.
The predicted salary is between 36000 - 60000 £ per year.
At M&G our purpose is to give everyone real confidence to put their money to work. As an international savings and investments business with roots stretching back more than 170 years, we offer a range of financial products and services through Asset Management, Life and Wealth. All three operating segments work together to deliver attractive financial outcomes for our clients, and superior shareholder returns.
Through our behaviours of telling it like it is, owning it now, and moving it forward together with care and integrity; we are creating an exceptional place to work for exceptional talent. We will consider flexible working arrangements for any of our roles and also offer workplace accommodations to ensure you have what you need to effectively deliver in your role.
This role is based within our Training and Competence (T&C) team at Sandringham Financial Partners, part of M&G. Sandringham is one of the market leading independent national advice firms offering a fresh and innovative approach to financial advice.
A key team within the business is our T&C team who help support 170 advising partners within the Sandringham network. A Sandringham T&C Supervisor's role is never the same from one day to the next, and with a wide range of skills and responsibilities within the team it ensures we can employ variety in our role. The successful candidate will make important contributions to our regulatory alignment with SM&CR and the AR regimes, coaching & development of advisers and maintaining company standards for advice.
We are looking for a driven and resilient individual as we push forward with changes and growth ambitions, which in itself will lead to great development opportunities for the right person. Whilst direct supervision is the main focus for Supervisors within Sandringham, the varied and unique nature of the role will allow an individual to develop their interests in any of the business areas they are interested in, such as AML, technical advice matters, later life, pensions, investments, and business development to name a few.
Key Responsibilities:
- Being responsible for a Span of Control of between 30 – 40 financial IFA’s, regular assessments of their KPI’s, Fit and Proper assessments, analysis of business structures and internal records to ensure compliance with regulatory requirements and regimes such as SM&CR, AR regime, APER amongst others.
- Assessing various areas of the business for areas of risk or trends.
- Developing strategies within the T&C team and wider Sandringham / M&G Advice workforce to mitigate risks within the business.
- Completing quarterly 121s with our advising partners, providing direct support and feedback to ensure compliance with regulatory requirements and to ensure smooth transition through SM&CR and AR regime assessments.
- Deliver training on our monthly Induction course, and on ad-hoc sessions when there is demand.
- Design and delivery of new Internal content on our Sandringham Academy system.
- Designing, presentation and delivery of key messages at training events around the UK or online via webinar.
- Providing ongoing support to advisers as and when necessary, via telephone / email / Teams.
- Answering regulatory queries to the Supervisors or to our internal Helpdesk function on areas such as financial planning, technical, product and T&C related queries.
- Liaising with stakeholders within the business including senior management.
- Support new to industry advisers with their route to competent adviser status, including role plays, client observations and their implementation of company standards.
- Opportunities and business requirements may mean supporting different parts of the business in project work, or other workflows including but not limited to AR reviews, AML queries, learning management system updates, vulnerable clients.
Key Knowledge, Skills & Experience:
- Existing experience in supervisory duties within financial services.
- Level 4 Diploma in Financial Planning (Desirable) CF6, CF8, ER1, J07, Advanced Diploma in Financial Planning.
- Knowledge of SM&CR, PROD, MiFID, AR Regime.
- Confident in using your own initiative as well as working from the instruction of others.
- The ability to be flexible in responding to the needs of the business.
- Experience within Later Life products would be an advantage.
- Some travel within the UK will be required at times.
- Excellent communication skills to a range of stakeholders, including senior management.
- Resilience and fortitude when facing challenging and busy periods.
We have a diverse workforce and an inclusive culture at M&G plc, underpinned by our policies and our employee-led networks who provide networking opportunities, advice and support for the diverse communities our colleagues represent. Regardless of gender, ethnicity, age, sexual orientation, nationality, disability or long term condition, we are looking to attract, promote and retain exceptional people. We also welcome those who take part in military service and those returning from career breaks.
M&G is also proud to be a Disability Confident Leader, and we welcome applications from candidates with long-term health conditions, disabilities, or neuro-divergent conditions. Being a Disability Confident Leader means that candidates who meet the minimum criteria of a job, will be offered an interview if they 'opt in' to the scheme when applying. If you need assistance or an alternative means of applying for a role due to a disability or additional need, please let us know by contacting us at: careers@mandg.com
Training & Competence Supervisor employer: M&G
M&G is an excellent employer, offering a dynamic work culture that values diversity and inclusion while fostering collaboration across geographically distributed teams. With a strong focus on employee growth and development, the company provides ample opportunities for professional advancement in the vibrant city of Edinburgh, making it an ideal place for those seeking meaningful and rewarding employment in technology delivery.
StudySmarter Expert Advice🤫
We think this is how you could land Training & Competence Supervisor
✨Tip Number 1
Familiarise yourself with the SM&CR and AR regimes, as these are crucial for the role. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance and regulatory alignment.
✨Tip Number 2
Network with professionals in the financial services sector, especially those who have experience in supervisory roles. Engaging with industry peers can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss your experience with training and development, particularly how you've supported advisers in achieving their competence. Highlighting specific examples will showcase your ability to coach and mentor effectively.
✨Tip Number 4
Stay updated on the latest trends in financial products, especially in areas like Later Life and pensions. This knowledge will be beneficial during discussions about risk assessment and business strategies within the T&C team.
We think you need these skills to ace Training & Competence Supervisor
Some tips for your application 🫡
Understand the Role:Read the job description thoroughly to understand the key responsibilities and required skills for the Training & Competence Supervisor position. Tailor your application to highlight how your experience aligns with these requirements.
Highlight Relevant Experience:Emphasise your supervisory experience within financial services, particularly any roles that involved compliance with regulatory requirements like SM&CR or AR regimes. Use specific examples to demonstrate your capabilities.
Showcase Communication Skills:Since excellent communication skills are essential for this role, provide examples of how you've effectively communicated with various stakeholders in previous positions. This could include training sessions, presentations, or direct support to colleagues.
Express Your Flexibility:Mention your ability to adapt to changing business needs and your willingness to take on diverse responsibilities. Highlight any experiences where you successfully managed multiple tasks or projects simultaneously.
How to prepare for a job interview at M&G
✨Understand the Role and Responsibilities
Make sure you have a clear understanding of the Training & Competence Supervisor role. Familiarise yourself with the key responsibilities, such as supervising financial advisers and ensuring compliance with regulatory requirements like SM&CR and AR regimes.
✨Showcase Your Experience
Be prepared to discuss your previous supervisory experience in financial services. Highlight specific examples where you've successfully managed teams or projects, particularly in areas relevant to the role, such as training, compliance, or risk assessment.
✨Demonstrate Strong Communication Skills
Since the role involves liaising with various stakeholders, it's crucial to showcase your communication skills. Practice articulating your thoughts clearly and confidently, and be ready to provide examples of how you've effectively communicated with senior management or team members in the past.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities and resilience. Think about potential challenges you might face in the role and how you would address them, especially during busy periods or when dealing with regulatory queries.
