Manager Supervision

St. James's Place; Greater London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading financial services firm seeks a candidate to implement and maintain systems for FCA compliance, ensuring that Partners and Advisers meet the necessary standards. The role requires a QCF Level 4 qualification and a CII Diploma in Regulated Financial Planning, focusing on supporting Partners with coaching and development. Benefits include competitive parental leave, medical insurance, and a discretionary bonus scheme reflecting personal and company performance.

Benefits

Competitive annual bonus

28 days leave plus bank holidays

Private medical insurance

10% non-contributory pension

Qualifications

• Must have QCF Level 4 qualification and CII Diploma in Regulated Financial Planning.
• Understanding of FCA COBs rules regarding competence and fit.
• Ability to review MI and implement effective mitigation.

Responsibilities

• Implement and maintain SJP systems for FCA compliance.
• Collate evidence on Salesforce for Partner and Adviser competence.
• Provide coaching and development to Partners and Advisers.
• Build strong relationships to foster a culture of trust.

Skills

Understanding of FCA COBs rules

Excellent communication skills

Strong analytical skills

Coaching and development skills

Time management

Client service orientation

Education

QCF Level 4 qualification

CII Diploma in Regulated Financial Planning

Job description

Responsibilities

• Implementing and maintaining SJP systems to ensure that Partners and Advisers meet with the FCA’s objectives and the principles of fitness and propriety.
• Working with a group of Partners and Advisers, with the primary objective to collate evidence and record it on Salesforce to confirm competence and complete the annual ADOC requirements.
• In conjunction with other managers within the field team, ensures that Partners and Advisers develop their knowledge and skills necessary to write, document and submit business within SJP guidelines and meet the required standards always ensuring excellent client outcomes.
• Ensuring colleagues are kept up to date on key matters and risks that involve the Partner or Adviser’s business.
• Building strong relationships with Partners and Adviser to enable a culture of trust and honesty, coaching and developing as required.

We are looking for a candidate with QCF Level 4 qualification, the CII Diploma in Regulated Financial Planning and also the following :

Qualifications

• Understanding of the FCA COBs rules regarding Partner and Adviser competence, fit and proper required and the appropriate supervisory expectations.
• Ability to review MI, identify potential issues and implement effective mitigation.
• Excellent communication and coaching and development skills, ability to constructively deliver unwelcome news and ensure correct remedial action is taken.
• Strong analytical and decision-making skills underpinned by informed sound judgement.
• Ability to organise time and workload, capacity to engage with a high volume of Partners and Advisers, work under pressure and meet deadlines.
• Focused on client outcome and a service orientated approach.

What's in it for you?

We reward you for the work you do, whether that’s through our discretionary annual bonus scheme that reflects both personal and company performance, competitive annual leave allowance (28 days plus bank holidays, with the option to purchase an additional 5 days), or online rewards platform with a variety of discounts.

We also have benefits to support whatever stage of life you are in, including :

• Competitive parental leave (26 weeks full pay)
• Private medical insurance (optional taxable benefit)
• 10% non-contributory pension (increasing with length of service)

Reasonable Adjustments

We're an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all. If you require reasonable adjustment(s) at any stage please let us know by emailing us at.

Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria or have been on an extended career-break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.