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Company:
- We provide highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning, and preparing for retirement.
- We are part of a leading provider of advice, investment platforms, multi-asset investment solutions, and discretionary fund management
- Today, we are one of the UK's largest wealth management firms, offering expert discretionary investment management and financial planning.
About the Role:
- Form part of the Supervision and Competency Oversight team, providing regulatory supervision across the financial planning division and their adherence to the firm's Training and Competency scheme
- Provide supervision support for new and existing Financial Planners, overseeing operational financial planner activity from a competency and advice standards perspective to manage risk and ensure good customer outcomes.
- Deliver key commitments outlined in the firm's Training and Competency scheme, including monitoring Financial Planner KRIs, carrying out observations, and holding 1:1 meetings.
- Support the initial and annual reassessment of competence and Fit and Proper processes for Financial Planners as required.
- Support the Supervision framework, including making relevant risk assessment recommendations.
- Support Financial Planners by identifying areas of improvement or training interventions, including the establishment and monitoring of agreed adviser development plans.
Attributes required:
- Proven experience of providing supervisory support to regulated Financial Advisors including carrying out skills observations/assessments.
- In-depth knowledge of financial services and the regulatory environment, particularly related to Financial Planning regulations.
- Knowledge of the Certification regime.
- Strong assessment skills.
- Strong communication and stakeholder management skills, with the ability to work in matrix environments.
- Ability to display sound judgement when making recommendations.
- Minimum of Diploma qualified level 4 in Financial Advice.
Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.
Our Diversity, Equity and Inclusion Mission
At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
