About the Role
- Deliver Initial and Annual inspection visits
- Explain and enforce the oversight contract with Appointed Representatives and Registered Individuals detailing the requirements, methods of assessment used and timescales to be applied
- Educate Appointed Representatives and Registered Individuals in respect of their compliance requirements , “Treating Customers Fairly” responsibilities and achieving Good Customer Outcomes
- Deliver the supervisory and risk assessment regime to Appointed Representatives and Registered Individuals and assess the skills, competencies and knowledge required to maintain competence
- Conduct Adviser Reviews within the Annual Inspection Visit, completing reports, providing coaching and feedback, identifying risks and escalating any identified failings through to the Senior Field Risk Manager
- Conduct competency sign off interviews for advisers in line with the requirements and standards
- Provide regular feedback to senior management on any issues identified within the Quilter Financial Planning group
- Conduct customer care calls as appropriate when needing to substantiate findings or to support competency sign off
- Manage identified issues to conclusion through effective use of enhanced monitoring events action Plans and Governance actions plans
- Use the correct escalation channels in the event of subjective decision making
- Delivering bespoke supervision reports to key firms
