Training and Competence Supervisor (Investment Professionals)

This role will support advisors across the U.K and Channel Islands, and as a result we are happy to consider applicants based within a commutable distance to an office within our network, with the expectation they can travel across the entire patch where required.

What will you do?

Supervise those in bespoke and modelled portfolio management roles, analysts and research.

Actively engaged with investment committees to ensure understanding of strategic asset allocation decisions and how this is understood by CPs.

Work closely with line managers creating shared goals and objectives for management of performance and risk, supporting the creation and management of effective development plans with CPs and line managers to enable and measure improvement.

Make appropriate decisions pertaining to whether an employee is competent to perform their role. When decisions are made actions are appropriately followed up, root causes identified consideration is given to whether systemic changes or other types of changes are required.

Develop strong relationships, providing expert counsel at an individual, office and business level, cultivating a positive culture around advisor competency and development.

Liaise with key stakeholders at all levels to provide information and insight into advisor performance, along with key data and behavioural trends.

Identify and implement opportunities for adviser development across the national network, working with training colleagues as required.

Be proactive and own your individual supervision activities e.g., planning, record keeping, ensuring regulatory requirements are met.

Drive high standards and be an advocate for best practice, supporting Certified Persons to take accountability for their regulatory obligations, goal setting and KRI management.

Analyse MI/Data and use critical thinking to identify patterns and investigate root causes, use insight and experience to provide expert advice as regards remedial actions.

Demonstrate a continuous improvement mindset, using critical thinking and analysis to understand root causes and mitigate risk.

What do you need to succeed?

Must-have

CISI Certificate in Investment Management / IMC, equivalent or higher relevant qualification.

Ensure own competence as a Supervisor is maintained to perform role and up to date CPD.

Strong understanding of investment instruments, asset allocation, portfolio construction and risk management

Experience supervising or portfolio management; providing technical guidance and direction as a subject matter expert (preferable)

Understanding of the FCA TC handbook and broader wider regulatory environment

Able to apply FCA handbook guidance with confidence and flexibility across a wide range of situations.

A strong Business Awareness and Strategic Focus.

Strong data analysis skills; identifying trends and patterns amongst various data sets, Read more