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Our Client is a boutique integrated wealth planning & investment management firm
The Compliance Supervision Manager will report directly into the Head of Compliance for the Training & Competence supervision for the Financial Planning business & will assist with the implementation of SMCR ahead of the December 2019 FCA deadline.
The day to day responsibilities (but not limited to): -
Maintain the Financial Planning T&C Scheme
Assist with Supervision of Financial Advisers
Monitoring of all advisers' daily activities
Maintaining Key Performance Indicator records for all advisers
Observing client meetings (quality assurance)
Identifying training & development needs for advisers
Organising appropriate internal training
Pre-approval of all suitability reports
Regular file reviews
Assessment of Initial Competence & Ongoing Competence
Overseeing the Investment Proposition including management of the investment portfolios, fund selections, audit trails etc.
Handling Client Complaints
Assist Head of Compliance with Reporting (Various Committees & Boards)
Minimum of 4 years Investment Compliance / Front office supervision experience.
Ideally have the Chartered Financial Planning qualification – or equivalent - Level 4 RDR.
Be familiar with SMCR.
Knowledge of Investment Management.
Pensions advisor & tax planning qualification is advantageous.