Training & Competence Supervisor

M&G; Huddersfield; On-site; GBP 35,000 - 55,000; Full time

Job summary

An established industry player is seeking a Training & Competence Supervisor to join their dynamic team. In this role, you will oversee a group of financial advisers, ensuring compliance with regulatory standards while providing coaching and development opportunities. Your expertise will help shape the future of financial advice within the organization. This role offers a unique chance to engage with various business areas, from AML to investments, and contribute to the growth and success of a leading financial services firm. If you're driven, resilient, and passionate about financial services, this is the perfect opportunity for you.

Qualifications

• Experience in supervisory roles within financial services is essential.
• Level 4 Diploma in Financial Planning is required.

Responsibilities

• Supervise 30-40 financial advisers, ensuring compliance with regulations.
• Deliver training and support to advisers, enhancing their skills.

Skills

Supervisory experience in financial services

Excellent communication skills

Knowledge of SM&CR

Flexibility in responding to business needs

Experience with Later Life products

Education

Level 4 Diploma in Financial Planning

CF6, CF8, ER1, J07 (desirable)

Advanced Diploma in Financial Planning (desirable)

Job description

At M&G our purpose is to give everyone real confidence to put their money to work. As an international savings and investments business with roots stretching back more than 170 years, we offer a range of financial products and services through Asset Management, Life and Wealth. All three operating segments work together to deliver attractive financial outcomes for our clients, and superior shareholder returns.

Through our behaviours of telling it like it is, owning it now, and moving it forward together with care and integrity; we are creating an exceptional place to work for exceptional talent.

We will consider flexible working arrangements for any of our roles and also offer workplace accommodations to ensure you have what you need to effectively deliver in your role.

Training & Competence Supervisor

This role is based within our Training and Competence (T&C) team at Sandringham Financial Partners, part of M&G. Sandringham is one of the market leading independent national advice firms offering a fresh and innovative approach to financial advice. M&G as the parent company are one of the largest financial services companies in the world and FTSE100 mainstay, whose aim is to give everyone real confidence to put their money to work.

The Role

A key team within the business is our T&C team who help support 170 advising Partners within the Sandringham network.

A Sandringham T&C Supervisor’s role is never the same from one day to the next, and with a wide range of skills and responsibilities within the team it ensures we can employ variety in our role. The successful candidate will make important contributions to our regulatory alignment with SM&CR and the AR regimes, coaching & development of advisers and maintaining company standards for advice.

We are looking for a driven and resilient individual as we push forward with changes and growth ambitions, which in itself will lead to great development opportunities for the right person. Whilst direct supervision is the main focus for Supervisors within Sandringham, the varied and unique nature of the role will allow an individual to develop their interests in any of the business areas they are interested in, such as AML, technical advice matters, later life, pensions, investments, and business development to name a few.

Key Responsibilities:

• Being responsible for a Span of Control of between 30 – 40 financial IFA’s, regular assessments of their KPI’s, Fit and Proper assessments, analysis of business structures and internal records to ensure compliance with regulatory requirements and regimes such as SM&CR, AR regime, APER amongst others.
• Assessing various areas of the business for areas of risk or trends.
• Developing strategies within the T&C team and wider Sandringham / M&G Advice workforce to mitigate risks within the business.
• Completing quarterly 121s with our advising partners, providing direct support and feedback to ensure compliance with regulatory requirements and to ensure smooth transition through SM&CR and AR regime assessments.
• Deliver training on our monthly Induction course, and on ad-hoc sessions when there is demand.
• Design and delivery of new Internal content on our Sandringham Academy system.
• Designing, presentation and delivery of key messages at training events around the UK or online via webinar.
• Providing ongoing support to advisers as and when necessary, via telephone / email / Teams.
• Answering regulatory queries to the Supervisors or to our internal Helpdesk function on areas such as financial planning, technical, product and T&C related queries.
• Liaising with stakeholders within the business including senior management.
• Support new to industry advisers with their route to competent adviser status, including role plays, client observations and their implementation of company standards.
• Opportunities and business requirements may mean supporting different parts of the business in project work, or other workflows including but not limited to AR reviews, AML queries, learning management system updates, vulnerable clients.

Key Knowledge, Skills & Experience:

• Existing experience in supervisory duties within financial services.
• Level 4 Diploma in Financial Planning.
• (Desirable) CF6, CF8, ER1, J07, Advanced Diploma in Financial Planning.
• Knowledge of SM&CR, PROD, MiFID, AR Regime.
• Confident in using your own initiative as well as working from the instruction of others.
• The ability to be flexible in responding to the needs of the business.
• Experience within Later Life products would be an advantage.
• Some travel within the UK will be required at times.
• Excellent communication skills to a range of stakeholders, including senior management.
• Resilience and fortitude when facing challenging and busy periods.

Work level: Experienced Colleague

Location: Huddersfield or Edinburgh

Recruiter: Phoebe Ewers

Closing Date: 16/05/2025