Company:

• Provide highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning, and preparing for retirement.
• Part of a leading provider of advice, investment platforms, multi-asset investment solutions, and discretionary fund management
• We are one of the UK's largest wealth management firms, offering expert discretionary investment management and financial planning.
  

The role:

• Lead an operational team, providing regulatory supervision over our Financial Advice team and their adherence to the firm's Training and Competency scheme and the overarching control environment.
• Work closely with counterparts in Distribution, Business Assurance, Advice Standards, and Proposition.
• Define, lead, and manage the operation of adviser activity to manage risk and ensure good customer outcomes.
• Provide strong leadership, working with other key stakeholders and teams in shaping the development of the overall strategy and business plan.
• Deliver key commitments outlined in the firm's Training and Competency scheme, including the monitoring of our advisers' KRIs and oversight of advice with accurate Management Information delivery.
• Lead a risk-focused culture and identify areas for continuous improvements, including leading the team in necessary competency training interventions.
• Oversee the management of advisers not performing against the firm's compliance and conduct expectations, including issuing disciplinary action up to and including a final written warning.
• Manage identified operational issues by reporting to relevant stakeholders and maintaining effective communication.
• Consistently review capacity management based on risks presented and deliver programmes of change, supporting or leading specific change projects.
• Lead on risk identification and implement appropriate mitigations or interventions as outlined in the firm's Training and Competency scheme.
• Develop and maintain strong and effective relationships with a range of internal and external stakeholders to ensure clear communication and best practice approaches are identified and shared.

Required experience:

• High level of experience of supervision and oversight within a regulated Financial Advice setting
• Minimum of Diploma level 4 qualified
• Lead by example, promoting exceptional performance, empowerment, accountability, and professionalism.
• Provide inspirational leadership, engaging employees, teams, and key stakeholders, supporting a high-performing culture and a customer-centric environment.
• Ability to create and implement change.
• Strong communication skills to navigate complex environments, manage multiple senior stakeholders, and simplify complex concepts.
• Able to represent and interact with all areas of the Company on compliance, sales, and advice processes.
• Display sound judgement when recommending policy/process changes.
• Demonstrate flexibility, prioritize workloads, and work on your own initiative.

If you are an experienced T&C/Supervisory specialist from a financial planning background please contact me confidentially to discuss the opportunity in more detail or please apply and I will be in contact.

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Our Diversity, Equity and Inclusion Mission

At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.