As the Regional Compliance Manager you'll pro-actively provide regular supervision, coaching and other regulatory support to our front line team of advisers to maximise their immediate performance, development and conduct.
You will be a subject matter expert and provide proactive support and constructive challenge to local teams, additionally you will support the business by way of input into national change initiatives ensuring we give more advice to more people.
- Undertaking the first line supervision of Personal Wealth Advisors you'll actively own the Key Performance Indicators aiming to ensure all client outcomes are fair, increase profitability through improved business levels & retention of existing business while ensuring all compliance documentation is completed to a high standard
- Identifying when Advisors require additional support and development, you'll implement appropriate solutions which meet both national and local requirements. You'll ensure that all coaching and development solutions focus on maximising colleagues understanding and commitment to consistently delivering the best customer outcome and experience
- Working closely with Senior Management (Regional Directors) to ensure the effective communication and implementation of development initiatives ensuring all Advisors are fully briefed, adequately trained and receive appropriate level of ongoing support
- Personally act as an advocate and champion in the use of new technology and processes to ensure that efficiencies and agility potential is captured
- Where required Co-ordinating the development of new entrants ensuring they reach competent advisor status in the required time-scales, to ensure retention of advisors and early contributions to client outcomes and business performance are achieved.
- Making recommendations to minimise risk on operational losses, complaints and breaches, escalating issues and non-conformance to all meaningful parties ensuring that appropriate and timely remedial action is taken
- Acting as a point of reference responding to a wide range of complex issues and ensuring satisfactory resolution for all parties. Ensure that regulatory, compliance and operational risk requirements are kept up to date and accurate and complete records held achieving appropriate ratings for any internal or external Audit inspection
- As and when required undertake projects and/or provide project support to other areas of the business. Acting as a development SME to ensure that the skills and knowledge of individuals are maximised and there is minimum disruption from the changes
What you'll need…
- Qualified to Level 4 (Diploma in Regulated Financial Planning)
- Supervisory experience in a regulated environment or background
- Proven ability to build strong relationship with customers
- Coaching and development skills to help drive KPI's
- Ability to provide constructive feedback
- Analyse data and deliver interpretations
- Strong communication skills both written and oral
- Meticulous attention to detail