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We are recruiting a home-based Regional Development Consultant to join our Compliance team.

Reporting to:

T and C Manager

Location:

Home based, with regular national travel to meet the needs of the business

Purpose

  • 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

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
  • Undertaking 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 to maintain their knowledge of regulatory requirements
  • Ensure IFAs undertake appropriate levels of CPD tailored to learning needs ad which meets minimum regulatory requirements
  • Liaise with Adviser Regional Managers t 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 the Chief Risk Officer is regularly informed and that TCF is embedded in the business.

Experience and core skills

  • 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
     

Ascot Lloyd people

  • Place the client at the centre of all their actions
  • Are professional, well qualified experts in their field
  • Know their own strengths and focus on what they do best
  • Support each other to optimise the client's experience
  • Have high integrity
  • Are up front and fair
  • Are consistent in their positive outlook, intentions and client centric thinking
  • Understand that whilst working hard brings results, questioning the way things are done, always looking for efficiencies and striving for improvements in the way they work will bring better results longer term
  • Are supportive team players who keep the interests of the company at the forefront of everything that they do

Apply Now