Purpose of the job

To deliver Foster Denovo’s Training and Competence Scheme in line with FCA Sourcebook. This role exists to ensure our Partners remain competent in their roles as well as assisting their continuing development.

The role holder will be responsible for delivery of the requirements included in the T&C Manual.

Job summary

Working in the Compliance Team and more closely in the Business Quality Team.

• Lead, coach and develop the Partners under their supervision
• Reporting directly to the Compliance Review Manager
• A key part of this role is to build good working relationships with the Partners who you supervise.
• Being flexible with the spans of control of Partners in relation to numbers supervised and locations.

Main Responsibilities

• Level 4 qualified
• Mortgage Qualification
• Full Driving licence and access to own car
• Experience in supervising Financial Advisers
• A strong understanding of investment and pension products.
• Will have worked in an advisory firm within the last 3 years.
• A strong understanding of FCA regulation associated with a member of the Compliance Team.
• Be able to work closely in a team.
• Excellent verbal and written communication skills.
• To have a thorough understanding of the sales process, client file requirements and the regulatory requirements imposed by the FSA and supervise these to agreed business standards.
• Advise and coach Partners to assist their ongoing development.
• Observe Partners in client meetings to ensure high standards are maintained and to develop any areas where standards are not met.
• To be responsible for their own recording of Partner records on the Compliance database.
• To participate in appropriate company and departmental training, competence, and development initiatives.
• Implementing corrective actions from information identified by other areas of the business.
• To continuously meet, the regulator’s Fit & Proper requirements.