Training And Compliance Supervisor Jobs Vacancy at Money Careers Horsham
Money Careers Horsham urgently required following position for Training And Compliance Supervisor. Please read this job advertisement carefully before apply. There are some qualifications, experience and skills requirement that the employers require. Does your career history fit these requirements? Ensure you understand the role you are applying for and that it is suited to your skills and qualifications.
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Training And Compliance Supervisor Jobs Vacancy at Money Careers Horsham Jobs Details:
Description, duties, responsibilities
Training and Compliance Supervisor
£40,000 - £45,000 + a range of benefits inc pension
My client is an award winning chartered financial planners providing award winning holistic financial planning and discretionary fund management.
They are seeking a Training and Compliance Supervisor with a detailed knowledge of FCA rules who is able to train, manage and co-ordinate a team.
The main responsibilities of the role include:
Maintaining a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within timescales;
Monitoring AR firms, coaching and mentoring approved persons both remotely and on-site so as to ensure compliance with both regulatory rules and Network procedures;
Undertaking regular KPI reviews;
Testing approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices and to provide relevant feedback and training;
Keeping up-to-date with regulatory and industry developments.
You will be expected to apply a risk-based and common-sense approach to the compliance monitoring process. You will have a minimum of level 4 Diploma in regulated financial planning with the aim to undertake further qualifications towards Chartered Status. The ideal candidate will have significant compliance and managerial experience within the financial services, preferably in an investment or insurance environment.