£35000 - £40000 per annum, Benefits: + Car Allowance + Benefits
22 days ago
Purpose of the roleTo act as an ambassador of the Compliance Function in delivering the T&C Supervision requirements of the firm. You will be responsible for ensuring the training, competence and professional development of those subject to the FCA's Approved Persons Regime (APER), meet regulatory requirements and business expectations. You will assist in delivering core training and development support to advisers, paraplanners and other members of the Compliance Team.
The successful candidate will be Level 4 in Financial Planning qualified and largely field based and as such will need to be willing to travel throughout the UK (although predominantly in the South of England), a full clean driving license will be required as well as the ability to manage their time flexibly, attend head office for regular meetings and to support the new adviser induction program.
Relevant skills, knowledge and behaviors
- The requisite technical knowledge and qualification (i.e. QCA Level 4 or good progress towards).
- Experience of supervision in a regulated environment and the ability to build and maintain professional
- Knowledge and understanding of the FCA’s regulatory and compliance procedures including record keeping
- Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice for approved persons and the relevant FCA rules at all
- Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all
- Keep up to date with all relevant product, legislative and technical
- Effectively deliver the Training and Competence requirements of the firm, including
- Supervise advisers within your span of
- Support adviser training generally and as
- Support advisers in developing their business goals and
- Maintain accurate records relating to T&C and other
- Support the firm’s Compliance
- Maintain personal knowledge and skills by completing ongoing