T&C Supervisor

The Openwork Partnership; Birmingham; On-site; GBP 60,000 - 69,000; Full time

Job summary

A leading financial services firm in Birmingham is seeking a Training and Competence Supervisor to ensure high standards in quality and risk oversight. This role involves working collaboratively with internal stakeholders to enhance supervision frameworks, while maintaining FCA compliance. The ideal candidate will have at least 2 years of experience supervising advisers, hold relevant qualifications, and possess strong analytical and communication skills. This position offers a competitive salary and various benefits, reflecting the firm's commitment to employee development.

Benefits

Salary up to £60,000

Bonus scheme - 10%

Annual car allowance of £4236

Pension scheme with 5% matching

Private medical insurance

Qualifications

• 2+ years experience supervising advisers and providing guidance.
• Strong understanding of FCA T&C handbook and regulatory environment.
• Experience creating risk remediation plans.

Responsibilities

• Deliver supervision according to Openwork’s Assurance Model.
• Ensure effective oversight and engagement with Practice Supervisors.
• Conduct root cause analyses and develop remedial actions.

Skills

Communication

Persuading & influencing

Analysing

Decision making

Relating and networking

Coping with pressure

Education

Level 4 Diploma qualification

Equity Release Qualification

Job description

The opportunity

We are seeking a dedicated Training and Competence Supervisor to join our team of supervision experts, supporting our network of partner firms, advisers, and practice supervisors.

This role plays a key part in upholding the high standards of quality and risk oversight that define the Openwork approach.

You will have the opportunity to effectively collaborate with a range of internal stakeholders and be a trusted and integral business partner.

The benefits

• Salary -up to £60,000
• Bonus scheme - on target bonus -10%
• An annual car allowance of £4236
• Pension scheme - contribute up to 5% of your salary and Openwork will match you and put in an extra 5%
• Critical illness cover
• Income protection - 1x salary
• Death in service - 4x salary
• 25 days holiday + bank holidays, with the opportunity to buy up to an additional 10 days
• A range of other flexible benefits to include private medical insurance, dental insurance and much more.

Your responsibilities will include

• Deliver Supervision according to Openwork’s’ Assurance Model and Supervision Framework
• Ensure effective oversight and engagement of Practice Supervisors where appropriate
• Ensure risk management approach is applied in a tailored and impactful way including effective root cause analysis and remedial actions; positive and collaborative engagement with Partner Firms / Advisor; evidence of good customer outcomes being achieved through intervention
• Uses MI / Data and critical thinking to identify patterns / root cause and focus Supervision priorities
• Influences positive attitudes and behaviors towards conduct, competence and client outcomes across all stakeholders
• Effectively balance commerciality and regulatory risk in the performance of role
• Ownership of own Supervision activities planning and organizing, ensuring regulatory requirements are met and that focus is proactive to address emerging risks

What will you need to succeed?

• Holds Level 4 Diploma qualification or committed to work towards Wealth Qualification within 18-months in role
• Holds or committed to complete Equity Release Qualification within 12-months in role
• Ensure own competence as a Supervisor is maintained to perform role and up to date CPD / SPS / SOS status where appropriate.
• Min 2 years’ experience Supervising Advisers and providing technical guidance and direction as a subject matter expert
• Evidence of strong understanding of the FCA T&C handbook and broad understanding of the wider regulatory environment
• Experience applying FCA handbook expertise with confidence and flexibility across a wide range of situations
• Evidence of creating risk and quality remediation plans suitable for root cause and achieving good client outcomes
• Communication : speaks clearly and articulately, projecting credibility and responding to audience
• Persuading & influencing : creates immediate positive and credible impression on others
• Analysing : identifies trends and patterns amongst various data sets, uses in-depth probing to gather information and identify a range of alternative
• Decision making & problem solving
• Deciding & initiating action : takes responsibility for tasks, acts quickly and decisively, handles objections convincingly
• Relating and networking : puts others at ease, quickly builds rapport, effectively interacts at all levels, takes steps to diffuse conflict and manage disagreements with tact
• Drives functional results : shows collaboration and drive to make a difference across teams
• Role model : demonstrates high risk and quality standards and behaviours though own actions
• Coping with pressure and setbacks : remains focused on work when under pressure, maintains optimistic outlook in the face of challenge, keeps problems in perspective, open and receptive approach to feedback

Why us?

We're a dynamic, fast paced, and growing business with huge ambition. This is all made possible by the brilliant people who are part of The Openwork Partnership family. We're investing heavily in our colleagues, continuously striving to give them the platform to develop personally and professionally and reach their full potential.

We’re also very proud of our culture, as one of the Best 100 Large Companies to work for in 2022. The Openwork Partnership values, and respects individuality and we are committed to building an inclusive culture and environment which truly recognises and celebrates our colleague’s individual differences and identities – just like our financial advice, for us, it’s personal. We believe everyone can make a difference and your race, religion, disability, and gender will never be a barrier. At Openwork, we have a strong ethic of care for each other where you can balance a successful career with your commitments and interests outside of work. We believe that you will bring your best self to work if you are trusted to choose when, where and how you do it.