Client area

We are recruiting a Regional Development Consultant to work in a home-based role.

Reporting to:

Head of T&C

Location:

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

Hours of work:

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

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
  • 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

Responsibilities - continued

  • Provide compliance advice and guidance to assist the IFAs in maintain their knowledge of regulatory requirements
  • 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

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

  • You must act with integrity
  • You must act with due care, skill and diligence
  • You must be open and co-operative with the FCA, PRA and other regulators
  • You must pay due regard to the interests of customers and treat them fairly
  • You must observe proper standards of market conduct

Experience and 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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