RBC Brewin Dolphin - Supervisor, Adviser Competence
Core
Provide quality, centrally led oversight, risk analysis, and developmental support to financial advisers under the SMCR framework.
Role type
Senior Supervisory Manager (Adviser Competence)
Builds
Adviser competency and regulatory compliance within the national network
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
SMCR regulatory knowledge, FCA T&C handbook expertise, data analysis, risk identification, coaching and feedback, stakeholder liaison, strategic focus
Preferred skills
Experience supervising/managing advisers, subject matter expertise in adviser development
Technologies
Data analysis tools, MI systems
Responsibilities
Conduct observations, 1:1s, coaching, and feedback for advisers; analyze data to identify trends and root causes; escalate risks and issues; create and manage development plans with line managers; liaise with stakeholders (L&D, Risk, HR); provide subject matter expertise to panels and strategic initiatives; ensure regulatory requirements are met.