Firm & Adviser Supervisor

About the company

Remote (first two days in the Horsham office) Are you an experienced financial services professional ready to move into, or step up within, a supervision role?

Your tasks

This is a fantastic opportunity to join an established advice network, working alongside a Lead Firm & Adviser Supervisor in a varied and rewarding role. You'll help make sure Appointed Representative (AR) firms and their advisers meet the standards required of them, and that clients receive good outcomes.

You'll do far more than tick boxes, making this a great next step for someone with strong professional curiosity who wants real influence over advice quality and risk.

• Reviewing adviser performance and putting development plans in place where gaps are found
• Assessing the initial and ongoing competence of individuals giving investment, mortgage and protection advice
• Carrying out periodic risk assessments of AR firms
• Recommending action plans to reduce risk and monitoring that actions are closed on time
• Escalating concerns about material risk of harm to consumers or the market
• Delivering onboarding training and ongoing training on regulatory, product and market changes
• Acting as the main point of contact between advisers or AR firms and the business
• Supporting the wider compliance department with projects when needed

Requirements

You'll have at least five years' experience in a regulated financial services environment, ideally including a recent supervision role within an advisory setting. You'll hold the Financial Planning Certificate and CeMAP (or equivalent), and have a sound working knowledge of the Financial Services and Markets Act 2000 and the FCA Handbook, in particular SUP, TC and APER.

You'll be familiar with the investment advice process, including asset allocation, portfolio construction, risk profiling and capacity for loss. You'll also be comfortable presenting to groups.

You'll be analytical, organised and flexible, able to work on your own initiative or as part of a team, and able to influence and communicate at all levels.

How to apply

If you're looking for your next supervision role and want an opportunity where you can make a real difference to advice quality, we'd love to hear from you.

Apply today for immediate consideration.

Other

Firm and Adviser Supervisor £40,000 - £44,000

Hours: Monday to Friday, 9:00am - 5:00pm (35 hours per week, full-time)

We practice a diverse and inclusive recruitment process that ensures equal opportunity for all we work with, irrespective of race, sexual orientation, mental or physical disability, age or gender. As an organisation, we encourage applications from all backgrounds and will ensure measures are met when required, to allow a fair process throughout.

PLEASE NOTE: We can only consider applications from candidates who have the right to work in the UK.