Quality Oversight Supervisor

Hargreaves Lansdown Asset Management Limited; Bristol; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading investment platform is seeking a Quality Oversight Supervisor in Bristol. The role involves conducting reviews to ensure excellent client outcomes and monitoring financial advisers' competency. Candidates should hold or be close to completing a Diploma in Financial Planning and possess strong supervisory skills. This full-time position offers flexible working arrangements and a range of benefits including a discretionary bonus, enhanced parental leave, and private medical insurance.

Benefits

Discretionary annual bonus

25 days holiday plus bank holidays

Flexible working options

Enhanced parental leave

Pension scheme up to 11%

Private medical insurance

Gym memberships and wellbeing apps

Qualifications

• Achieved or near completion of the Diploma in Financial Planning.
• Good working knowledge of Data Protection and Anti Money Laundering.
• Knowledge of FCA Handbook regulation: COBS, TC and SMCR.
• Interest in financial advice and client outcomes.
• Proven skills in monitoring, supervising and coaching.

Responsibilities

• Conduct individual and thematic reviews to provide assurance to clients.
• Monitor competency of financial advisers and managers.
• Work with advisers to formulate solutions.
• Ensure robust record keeping standards.

Skills

Monitoring

Supervising

Coaching

Communication

Education

Diploma in Financial Planning (RQF level 4)

Advanced Diploma (RQF level 6)

Job description

Our purpose is to empower people to save and invest with confidence. We are looking for great people to join us, so please come and invest in YOUR future at HL.

We know that sometimes people can be put off applying for a job if they don't tick every box. If you're excited about working for us and have most of the skills or experience we're looking for, please go ahead and apply. We'd love to hear from you!

About the role

We have an exciting opportunity to join our Advisory division as a Quality Oversight Supervisor. Reporting to the Compliance Oversight Manager, you will be responsible for conducting individual and thematic reviews across HLAS to provide assurance that good client outcomes are at the forefront of advice given.

What you’ll be doing

• Conducting individual and thematic reviews across the Advisory division to provide assurance that good client outcomes are at the forefront of advice given at all times and highlight where any advice presents risk to the client or the business.
• Monitoring competency of the financial advisers and managers, and helping to manage change, hence the skills of supervision and occasional coaching are essential.
• Working with financial advisers and managers to formulate solutions where issues are identified.
• Ensuring robust record keeping standards are adhered to.

About you

• Achieved or near completion of the Diploma in Financial Planning (RQF level 4) and ideally be working towards the Advanced Diploma (RQF level 6).
• Good working knowledge of Data Protection and Anti Money Laundering aspects as they relate to HL's business.
• Good working knowledge of FCA Handbook regulation: COBS, TC and SMCR
• An interest in financial advice and the different client outcomes that come from this.
• Proven skills in monitoring, supervising and coaching individuals.
• An effective and engaging communicator, able to present complex information in simple context, adapting your style to suit your audience.

Interview process

This will be a two-stage interview process, consisting of an introductory conversation, and a competency interview with presentation.

Working Schedule

Based in Bristol head office, BS1 5HL. This is a permanent, full time position. For this role we offer a flexible working pattern to enable you the option of working from home.

Why us?

Here at HL, we're the UK's number 1 investment platform for private investors, based in Bristol. For more than 40 years we've helped investors save time, tax and money on their investments.

To achieve our mission, we believe we have a workplace like no other, with constant learning, dynamic teams, and a great ethos. We're steered by core values that promote service, quality, innovation, and opportunity in everything we do.

What's on offer?

• Discretionary annual bonus* & annual pay review
• 25 days* holiday plus bank holidays and 1-day additional Christmas closure time
• Option to purchase an additional 5 days holiday per year at annual enrolment
• Flexible working options available, including hybrid working
• Enhanced parental leave
• Pension scheme up to 11% employer contribution
• Sharesave scheme - have a real stake in HL's future
• Income Protection & Life insurance (4 x salary core level of cover)
• Private medical insurance*
• Health care cash plans - including optical, dental, and out patientcare
• Help@hand and an Employee Assistance Programme
• Gympass - gym memberships and wellbeing apps available
• Variety of travel to work schemes with free bike storage and shower facilities
• An inhouse barista serving subsidised coffee and snacks
• Join HL's sports, I&D networks and volunteering groups (two paid volunteering days per year)
• LifeWorks Discounts on services, restaurants and retailers

* dependant on role level

Hargreaves Lansdown is an inclusive employer that values diversity in its workforce. We encourage applications from all individuals without regard to race, religion, gender, sexual orientation, national origin, disability or age.

This role may also be available on a flexible working or part time basis - please ask the Recruitment & Onboarding team for more information.

Please note, we are unable to provide employment sponsorship to candidates.