Remote Competency Assessor
Core
Conduct remote competency assessment meetings for financial advisers, identify development areas, enforce oversight contracts, and deliver risk assessments to ensure compliance and Treating Customers Fairly.
Role type
Senior IC Competency Assessor (Financial Services)
Builds
Compliance assurance and competency sign-off for advisers
Domain
Financial Services / Wealth Management
Required skills
Level 4 Diploma qualification, financial services experience, risk assessment, coaching and feedback, compliance rule enforcement, action plan development, customer care calls, reporting to senior management
Preferred skills
T&C supervisory function experience, Network/National or IFA/restricted advice models experience
Technologies
In-house technology, Microsoft Office
Responsibilities
Complete competency assessment meetings remotely, explain and enforce oversight contracts with Appointed Representatives and Registered Individuals, educate advisers on compliance requirements and Treating Customers Fairly, deliver risk assessment regimes, conduct adviser reviews and provide coaching, escalate identified failings to the Firm Compliance Partner, provide regular feedback to senior management, conduct customer care calls to substantiate findings.
Seniority
Senior, hands-on IC