About this role
THE ROLE CAN BE BASED ANYWHERE IN THE SOUTH OF ENGLAND
We're working with an ambitious, expanding financial planning group seeking a Training & Competence Supervisor based in the South of England to support adviser development, maintain regulatory standards, and help drive a culture of continuous improvement across the adviser community.
This is a varied and influential position where you'll work closely with advisory teams, providing oversight, coaching, and competency support to ensure high standards of client advice and regulatory compliance. You'll have the opportunity to work with both established advisers and those progressing towards full competency, helping shape professional development within a dynamic organisation
Role & Responsibilities:
Oversee adviser competency and ongoing fitness and propriety requirements in line with internal standards and regulatory expectations.Support the development and progression of trainee advisers on their route to achieving competent adviser status.Conduct adviser reviews, supervision meetings, and competency assessments.Identify trends, knowledge gaps, and development opportunities, creating appropriate coaching and development plans.Review client files and assess advice quality against regulatory and internal standards.Provide constructive feedback and support remediation activity where required.Maintain accurate records relating to adviser supervision, development, and competence.Deliver or coordinate training initiatives to enhance adviser knowledge and performance.Monitor regulatory developments and ensure relevant learning is communicated across the adviser population.Produce management information and reporting on adviser performance, risk indicators, and competency trends.
Do you have the following to apply?
At least 3 years' experience within compliance, quality assurance, training & competence, or adviser supervision.A strong understanding of FCA regulations and the wealth management or financial planning sector.Minimum Level 4 Diploma in Financial Planning
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.