Training & Compliance Supervisor
- Employer
- Best Practice IFA Group Limited
- Location
- Horsham, UK
- Salary
- Competitive
- Closing date
- Jun 19, 2019
View more
- Job Role
- Compliance Accountant
- Sector
- Finance
- Contract Type
- Permanent
- Hours
- Full Time
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Hours: 37.5 hours per week Job Type: Full time & Permanent
Location:
Horsham or Home based (depending on location) We are looking for an experienced compliance and training Supervisor to maintain up to 40 regulated individuals, managing and scheduling all aspects of Training, Compliance and competence, including; testing and supervision of advisers, undertaking regular KPI reviews in respect of AR firms, one to ones, file reviews and the assessment of approved persons according to T&C scheme requirements. Reporting to the Compliance Manager, you will monitor, coach and mentor approved AR Firms, both remotely and on-site, ensuring compliance with regulatory and Network procedures. The work is varied, challenging and fast-paced. We apply a risk-based and common-sense approach to compliance. We're looking for someone who can quickly understand the business, gain trust and build rapport quickly with appointed representatives, with exemplary governance demonstrated throughout. This is an exciting opportunity for someone to manage their own span of advisers and progress within Financial Compliance. We have a comprehensive benefits package, including: Holiday entitlement starts at 22 days, rising to 25 days plus bank holidays Study support Onsite parking Up to 5% pension contribution Private healthcare We'd love to hear from you if you: Level 4 Diploma in Regulated Financial Planning (or Equivalent) CII-JO7 Supervision in a regulated environment (currently studying or open to study) Experience within in an investment or insurance environment Detailed knowledge of FCA/PRA and Compliance requirements Ability to train and motivate others whilst remaining flexible/adaptable Highly developed analytical, observational and communication skills Experience of working in a network of Financial Advisers If you think you would make an excellent and valued member of the Best Practice team and your skills and experience match the job requirements, please forward your CV and Cover letter. Best Practice IFA Group Limited are an equal opportunities employer, this means it is our policy to provide equal employment opportunities to all qualified persons and to recruit, hire, train and promote persons in all jobs without regard to race, colour, religion, sex, national origin, disability or sexual orientation.
Location:
Horsham or Home based (depending on location) We are looking for an experienced compliance and training Supervisor to maintain up to 40 regulated individuals, managing and scheduling all aspects of Training, Compliance and competence, including; testing and supervision of advisers, undertaking regular KPI reviews in respect of AR firms, one to ones, file reviews and the assessment of approved persons according to T&C scheme requirements. Reporting to the Compliance Manager, you will monitor, coach and mentor approved AR Firms, both remotely and on-site, ensuring compliance with regulatory and Network procedures. The work is varied, challenging and fast-paced. We apply a risk-based and common-sense approach to compliance. We're looking for someone who can quickly understand the business, gain trust and build rapport quickly with appointed representatives, with exemplary governance demonstrated throughout. This is an exciting opportunity for someone to manage their own span of advisers and progress within Financial Compliance. We have a comprehensive benefits package, including: Holiday entitlement starts at 22 days, rising to 25 days plus bank holidays Study support Onsite parking Up to 5% pension contribution Private healthcare We'd love to hear from you if you: Level 4 Diploma in Regulated Financial Planning (or Equivalent) CII-JO7 Supervision in a regulated environment (currently studying or open to study) Experience within in an investment or insurance environment Detailed knowledge of FCA/PRA and Compliance requirements Ability to train and motivate others whilst remaining flexible/adaptable Highly developed analytical, observational and communication skills Experience of working in a network of Financial Advisers If you think you would make an excellent and valued member of the Best Practice team and your skills and experience match the job requirements, please forward your CV and Cover letter. Best Practice IFA Group Limited are an equal opportunities employer, this means it is our policy to provide equal employment opportunities to all qualified persons and to recruit, hire, train and promote persons in all jobs without regard to race, colour, religion, sex, national origin, disability or sexual orientation.
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