We are recruiting a Regional Development Consultant.

Reports to:

Head of T&C


Home Based, with regular travel to meet the needs of the business

Hours of work:

35 hours each week, with flexibility to meet deadlines as required

SMCR Function:

This is a Certified Role  

Purpose of role:

  • To coach, train, develop and monitor the performance of Ascot Lloyd’s Financial Advisers to ensure that clients receive an outstanding service and that all regulatory requirements and standards are met and maintained.
  • To ensure that all Advisers demonstrate appropriate levels of knowledge, skills and expertise to undertake their role competently in line with Ascot Lloyd’s Training and Competence programme and TCF strategy

Key Responsibilities

  • Manage the training and development of a team of Ascot Lloyd IFAs
  • Conduct induction training for IFAs joining the company
  • Participate in role-play assessment of IFAs
  • Manage and supervise IFAs’ performance and provide appropriate levels of oversight from non-competent to competent status
  • Undertake training needs analysis to identify training gaps in skills and knowledge
  • Investigate areas of underperformance, report findings and recommended remedial action,
  • Prepare development plans to address learning needs
  • Conduct Observation and Assessment of IFAs’ advisory skills to demonstrate their ongoing competency, and to identify training needs
  • Undertake pre-sale and post-sale client file reviews, instructing remedial action and identifying areas for development
  • Gather appropriate management information to enable appropriate assessment of IFAs’ performance against KPIs
  • Hold 1:1 development meetings with IFAs
  • Provide compliance advice and guidance to assist the IFAs in maintain their knowledge of regulatory requirements

Key Responsibilities - continued

  • Ensure IFAs undertake appropriate levels of CPD tailored to learning needs and which meets minimum regulatory requirements
  • Liaise with Adviser Regional Managers to ensure rounded approach to IFAs’ development
  • Liaise with Group Compliance and Risk Director / Regulatory Risk Manager on regulatory matters of potential concern or risk in a timely manner, and assist in regulatory projects as directed
  • Report on supervision activity, issues and trends to ensure Group Compliance and Risk Director / Regulatory Risk Manager are regularly informed and that TCF is embedded in the business
  • Encourage good risk management processes. Fostering a risk-aware culture acts as a business enabler through which management feels empowered to take risks in a manner that is transparent and that is in line with the business and risk strategy

SM&CR Responsibilities

As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.

Individual Conduct Rules

  1. You must act with integrity
  2. You must act with due care, skill and diligence
  3. You must be open and co-operative with the FCA, PRA and other regulators
  4. You must pay due regard to the interests of customers and treat them fairly
  5. You must observe proper standards of market conduct
  6. You must act to deliver good outcomes for clients

Experience & Skills Required

  • Strong T and D background
  • Previous experience of an RDC / Field Supervisor role
  • Up to date compliance and risk management knowledge
  • People management skills – including coaching and mentoring
  • Strong and effective communication skills
  • Networking skills

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