JJ SEARCH LIMITED
Training & Competence Supervisor , Wealth Management , Financial Planning , DipPFS / IAD
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The Company:
Our client is a UK Wealth Management firm with varied activities in financial planning and private client investment management.
The Role:
This is an exciting opportunity to work for a highly credible Wealth Management firm ensuring that the firm adheres to its quality objectives and conducts a ‘best in class’ and 'best practice' control framework.
The Training & Competence Supervisor will follow T&C Scheme requirements and be responsible for Supervisory Activity of the Front Office.
The Training & Competence Supervisor will support the Wealth Management business in the delivery of the business development strategy and growth plan by undertaking the ongoing competency of the team to support the T&C and SM&CR arrangements, demonstrating this through activities including observations with the front office Investment Managers and Wealth Planners, 1:1s, coaching and feedback, and data analysis, escalating risks and issues as required.
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The Training & Competence Adviser will monitor and review information on the Front Office delivering good client outcomes, on an ongoing basis providing constructive feedback, recognising good performance, and escalating concerns if necessary. Address competence and capability issues, encouraging and developing colleagues through training.
The Training & Competence Supervisor will have a good understanding of Wealth Management business and will look to continuously improve management/leadership skills. Undertake and record relevant Continuous Professional Development (CPD) undertaken to develop knowledge and skills.
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The Training & Competence Supervisor will keep tabs on Performance & Behavioural Risk data and manage and support Certified Role Holder activity in line with the T&C Dashboard and Risk Scorecard.
Maintain strong senior stakeholder relationships, cultivating a positive culture around the employees' competency and development.
The Candidate:
- At least 3-5 years’ experience within a Training & Competency role – within Wealth Management, Investment Management, or Financial Planning.
- Minimum RQF Level 4 qualified (CISI or CII or equivalent)
- Has been assessed as a competent Supervisor under the SMCR and T&C policies
- Influential leadership skills and the ability to influence change.
- Excellent communication skills and able to present to large groups.
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