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Training and Competancy Supervisor

  • Salary: Up to £28000.00 per annum + Bonus and Benefits
  • Location: Leeds, West Yorkshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    29 May 2019
  • Job reference: 32344

Are you looking to working in the head office of a national wealth management firm based in Leeds city centre? Are you looking for a business who encompasses best practice and provides their Advisers with the best service to provide the up most client care?

My client are based in Leeds city centre, a short walk from the train station and are looking for a T&C Supervisor to join their growing compliance team.

The opportunity

  • Conducting one to one meetings with Advisers as required to review their current service to their high net worth clients
  • Completing role plays with Advisers on an annual basis
  • Conducting file reviews on holistic financial planning advice
  • Taking the meeting notes form the above and creating an action plan to improve compliance across the business and implementing this with their Advisers
  • Reporting risks and updates to the Head of Compliance and management team
  • Working in the company induction team introducing new Advisers to the companies processes and compliance function
  • Assisting with regulatory helpline enquiries with regards to financial planning, technical, product and T&C related queries
  • Adhoc compliance activities as and when the business require


To be successful in application you will require strong organisational skills and be able to manage your own diary, have a leading knowledge of FCA regulations for all areas of financial planning advice. Be able to communicate with the management team, your colleagues and Advisers across the business in an informative and constructive manner. You must hold the Diploma in Financial Planning or equivalent to be a successful applicant.

In reward for your efforts you will receive a basic salary of £32,000 plus bonus and impressive employee benefits structure. You will also benefit from their modern offices, team socials and softer benefits.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful. If your application is unsuccessful, the information supplied may still be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

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