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Compliance Business Quality Executive
Foster Denovo. Deliver Foster Denovo’s Training and Competence Scheme in line with FCA Sourcebook .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in delivering training and competence schemes in compliance with FCA regulations, while effectively supervising and developing financial advisers. Strong ability to maintain high standards in client interactions and ensure adherence to regulatory requirements.
Highest-signal resume keywords
Level 4 Qualified Mortgage QualificationSupervising Financial AdvisersUnderstanding of FCA RegulationExcellent Verbal and Written Communication SkillsUnderstanding of Investment and Pension Products
ATS Keywords
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Hard Skills
Training and Competence Scheme DeliveryCompliance Database ManagementSales Process UnderstandingClient File Requirements KnowledgeRegulatory Requirements Compliance
Soft Skills
Team CollaborationCoaching and DevelopmentRelationship Building
Certifications & Qualifications
Level 4 Qualified Mortgage Qualification
Industry Keywords
FCA SourcebookCompliance ReviewFit & Proper RequirementsAdvisory Firm ExperienceInvestment ProductsPension Products
About the role
Key responsibilities & impact- Deliver Foster Denovo’s Training and Competence Scheme in line with FCA Sourcebook
- Ensure Partners remain competent and assist their continuing development
- Deliver requirements included in the T&C Manual
- Lead, coach and develop Partners under supervision
- Build good working relationships with supervised Partners
- Work flexibly with spans of control across numbers of Partners and locations
- Report directly to the Compliance Review Manager
- Supervise Partners against agreed business standards
- Advise and coach Partners to support ongoing development
- Observe Partners in client meetings to maintain high standards and identify development areas
- Record Partner records on the Compliance database
- Participate in company and departmental training, competence and development initiatives
- Implement corrective actions identified by other areas of the business
Requirements
What you’ll need- Level 4 qualified Mortgage Qualification
- Full Driving licence and access to own car
- Experience in supervising Financial Advisers
- Strong understanding of investment and pension products
- Will have worked in an advisory firm within the last 3 years
- Strong understanding of FCA regulation associated with a member of the Compliance Team
- Ability to work closely in a team
- Excellent verbal and written communication skills
- Thorough understanding of the sales process, client file requirements and regulatory requirements imposed by the FSA
- Continuously meet the regulator’s Fit & Proper requirements
Benefits
Comp & perks- 25 days holiday (increasing by an additional day per annum up to 30 days)
- Discretionary bonus
- Foster Denovo will match your personal pension contribution up to a maximum of 7.5%
- Life assurance of up to 4 x your salary
- Income protection of 75% of your basic salary in the event of long term sickness
- Employees can use our financial advisers within the company for any financial advice or knowledge
- Interest free season tickets loans
- Eye care and childcare vouchers
- Shopping discounts benefits portal (discounts on holiday, gym and high street retailers)
- Open, mutually supportive, knowledge-sharing culture
- Company and departmental training, competence, and development initiatives