Job Description
This job is with St. James's Place, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.
The main purpose of this role is to undertake the regulatory responsibility of 'Nominated Supervisor' for a team of Partners and Advisers.
You will be responsible for ensuring appropriate evidence is collated to complete the Annual Declaration of Competence (ADOC) for the Partners and Advisers within their defined area, using strong coaching and development skills to support these individuals.
What you'll be doing:
* Implementing and maintaining SJP systems to ensure that Partners and Advisers meet with the FCA's objectives and the principles of fitness and propriety.
* Working with a group of Partners and Advisers, with the primary objective to collate evidence and record it on Salesforce to confirm competence and complete the annual ADOC requirements.
* In conjunction with other managers within the field team, ensures that Partners and Advisers develop their knowledge and skills necessary to write, document and submit business within SJP guidelines and meet the required standards always ensuring excellent client outcomes.
* Ensuring colleagues are kept up to date on key matters and risks that involve the Partner or Adviser's business.
* Building strong relationships with Partners and Adviser to enable a culture of trust and honesty, coaching and developing as required.
We are looking for a candidate with QCF Level 4 qualification e.g., the CII Diploma in Regulated Financial Planning and also the following:
* Understanding of the FCA COBs rules regarding Partner and Adviser competence, fit and proper required and the appropriate supervisory expectations.
* Ability to review MI, identify potential issues and implement effective mitigation.
* Excellent communication and coaching and development skills, ability to constructively deliver unwelcome news and ensure correct remedial action is taken.
* Strong analytical and decision-making skills underpinned by informed sound judgement.
* Ability to organise time and workload, capacity to engage with a high volume of Partners and Advisers, work under pressure and meet deadlines.
* Focused on client outcome and a service orientated approach.