Training & Compliance Supervisor

Northampton Business Directory; Holland (MI); Remote; USD 50,000 - 60,000; Full time

Job summary

A leading financial services organization is seeking a Training & Compliance Supervisor to ensure compliance and competence among advisers. This remote role involves supervising advisers, facilitating training, and adhering to regulatory requirements. Join during a period of growth and enjoy flexible benefits.

Benefits

Flexible benefits including buy and sell holidays

Remote working with some travel

Car allowance

Pension

Income protection

Life insurance

Qualifications

• Experience in a training and competency environment.
• Knowledge of T&C regulations and codes.

Responsibilities

• Ensure advisers gain and retain competence.
• Facilitate inductions for new Financial Advisers.
• Supervise red and amber advisors.

Skills

Experience within a regulated or financial services environment

Good working knowledge of IO

Understanding of industry developments

Education

Relevant industry qualifications to QCA Level 4

Job description

Training & Compliance Supervisor – Remote – £50,000 - £60,000

Chase & Holland are thrilled to be recruiting for a fantastic UK-wide organisation who are looking to recruit a T&C Supervisor. This is an organisation that is proud to deliver financial services to customers. We’re looking for an experienced T&C Supervisor to join on a full-time permanent basis. You will primarily be responsible for facilitating and delivering T&C requirements across the organisation. This is a great time to join as the organisation is going through a period of continued growth.

In Return You’ll Receive

• Flexible benefits to suit your lifestyle including buy and sell holidays
• Remote working with some travel
• Car allowance
• Pension
• Income protection
• Life insurance

Training & Compliance Supervisor Responsibilities:

• Being at the forefront of ensuring that advisers gain and retain competence for the roles they are performing
• Collation of relevant data, provide sales management with accurate and meaningful data relating to adviser RAG status
• Facilitating the Inductions for all new Financial Advisers, creating bespoke plans
• Responsible for meaningful and effective supervision of all red and amber advisors
• Desk based supervision of green advisers, liaising with sales management and QA team as necessary regarding coaching and development
• Attending formal training when required and to adhere to internal and regulatory requirements at all times
• Attending adviser meetings/conferences/team meetings to exchange views on industry and other relevant issues in line with internal procedures
• Reporting material breaches to the Head of Risk immediately
• Completion of other reasonable duties, as defined by the Senior Management Team

Required Skills & Experience:

• Experience within a regulated or financial services environment in particular a training and competency environment.
• Relevant industry qualifications, at least to QCA Level 4 or equivalent, and including H15/J07
• Up to date knowledge of various rule books in particular T&C, regulations and codes
• Good working knowledge of IO and application of extraction of MI required to ascertain KPI data, MI reporting on all advisers
• Understanding of industry developments

If you are interested in finding out about this excitingTraining & Compliance Supervisoropportunity, please click ‘apply now’.

Chase & Holland acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. We specialise in finance, supply chain, HR, IT and office support recruitment and comfortably service Yorkshire, Derbyshire, Nottinghamshire, Leicestershire, Staffordshire and Lincolnshire.