T&C Supervisor

Capio Recruitment; West Midlands; Hybrid; GBP 54,000 - 66,000; Full time

Benefits offered by this job

Car allowance

10% bonus target

£4,236 annual car allowance

Pension contribution

Additional holiday option

Private medical and dental

Critical illness cover

Income protection

Death-in-service 4x salary

Job summary

Capio Recruitment is seeking an experienced Training & Competence supervisor to lead adviser supervision across the UK, predominantly remote with occasional visits. You will oversee practice supervisors and ensure regulatory standards are embedded across Midlands or North East / North West regions.

You’ll analyse data to spot trends, identify risks, and develop remediation plans while balancing client outcomes with commercial needs. Strong communication and independence are essential.

Qualifications

• Level 4 Diploma in Financial Planning.
• Minimum two years’ experience supervising Financial Advisers.
• Strong understanding of the FCA Training & Competence requirements.
• Experience creating and delivering risk or quality remediation plans.
• Ability to analyse data and identify trends and areas of risk.
• Ability to work independently and manage a predominantly remote workload.
• Equity Release qualification, or willingness to complete this within 12 months.

Responsibilities

• Deliver adviser supervision in line with the firm’s assurance and supervision framework.
• Provide oversight and support to Practice Supervisors.
• Identify conduct, competence, regulatory and quality risks.
• Complete root-cause analysis and agree appropriate remediation plans.
• Use MI and data to identify trends, patterns and emerging areas of concern.
• Promote positive behaviours around competence, conduct and client outcomes.
• Provide technical guidance and challenge to Financial Advisers.
• Balance commercial considerations with regulatory requirements and customer outcomes.
• Plan and manage your own supervision activity and regulatory deadlines.
• Build effective relationships across advisers, firms, sales teams and the wider business.

Skills

Supervision of Advisers

Stakeholder management

Data analysis

Regulatory awareness

Education

Level 4 Diploma in Financial Planning

Job description

Predominantly Remote | Midlands / North East / North West | Up to £60,000 + Bonus + Car Allowance

You’re an experienced Training & Competence professional who enjoys working closely with Financial Advisers and firms to improve standards, manage risk and deliver strong client outcomes.

You’re confident providing challenge where necessary, but understand that effective supervision is also about building trust, influencing behaviour and taking a pragmatic approach to risk.

This is an opportunity to join a large, established financial services business in a predominantly remote role, supporting adviser firms across either the Midlands or North East / North West.

The Role

You’ll work closely with Financial Advisers, Partner Firms and Practice Supervisors, providing supervision, technical guidance and risk oversight.

Although technically a field-based position, the role is largely home-based, with travel required only occasionally to visit the businesses you support. Your portfolio will be concentrated across either the Midlands or North East / North West, so you’ll ideally be based within reasonable reach of one of these regions.

The role goes beyond simply identifying issues. You’ll work with advisers and firms to understand root causes, develop appropriate remediation plans and help embed stronger standards and behaviours.

You’ll manage your own supervision activity, using data and management information to identify trends, emerging risks and areas requiring greater focus.

Responsibilities

• Deliver adviser supervision in line with the firm’s assurance and supervision framework.
• Provide oversight and support to Practice Supervisors.
• Identify conduct, competence, regulatory and quality risks.
• Complete root-cause analysis and agree appropriate remediation plans.
• Use MI and data to identify trends, patterns and emerging areas of concern.
• Promote positive behaviours around competence, conduct and client outcomes.
• Provide technical guidance and challenge to Financial Advisers.
• Balance commercial considerations with regulatory requirements and customer outcomes.
• Plan and manage your own supervision activity and regulatory deadlines.
• Build effective relationships across advisers, firms, sales teams and the wider business.

Requirements

• Level 4 Diploma in Financial Planning.
• Minimum two years’ experience supervising Financial Advisers.
• Strong understanding of the FCA Training & Competence requirements and wider regulatory environment.
• Experience providing technical guidance and acting as a subject matter expert.
• Experience creating and delivering risk or quality remediation plans.
• Strong communication, influencing and stakeholder management skills.
• Ability to analyse data and identify trends and areas of risk.
• Confidence challenging advisers and senior stakeholders where appropriate.
• Ability to work independently and manage a predominantly remote workload.
• Equity Release qualification, or willingness to complete this within 12 months.

Package

• Salary up to £60,000.
• 10% target bonus.
• £4,236 annual car allowance.
• Strong employer pension contribution.
• Option to purchase additional holiday.
• Private medical and dental insurance options.
• Critical illness cover.
• Income protection.
• 4x salary death-in-service benefit.

The Business

You’ll be joining a large and well-established financial services organisation supporting a significant network of Financial Advisers and advice firms across the UK.

The business continues to invest heavily in its people, technology and infrastructure, with a strong focus on advice quality, regulatory standards and sustainable growth.

You’ll join an experienced team of Training & Competence specialists while retaining significant autonomy over your own adviser relationships and supervision activity.

T&C Supervisor, Training & Competence Manager, Adviser Supervisor, Field Supervisor, Business Quality Manager, Supervision Manager, Compliance Supervisor, and Advice Quality Manager.