Supervisor Training

Supervisor Training

supervisor trainingA T&C scheme is only as good as its supervisors. Our supervisor training is designed to develop supervisory skills, meet FCA T&C requirements and build effective people management skills.

As the author of the CII’s level 6 study text on Senior Management and Supervision (AF6), Ian Patterson is ideally placed to develop the people skills and processes that FCA regulated firms will be expected to have and be able to demonstrate. In a nutshell: practical and effective supervisor training.

Supervisor Training

The FCA requirements………

Under FCA T&C guidence, all advisers who carry out regulated activities must be appropriately supervised. In addition, supervisors of investment advisers must: ‘have the necessary coaching and assessment skills as well as technical knowledge and experience to act as a competent supervisor and assessor’ (TC 2.1.4G).

For existing supervisors, they must be able to show this competence has been maintained (TC2.1.12R).

Supervisor Training

What about other regulatory areas….?

Of course within other regulated activities such as mortgages and general insurance, there are no specific exam requirements. However, supervisors within these activities are still expected to be competent and be able to demonstrate coaching and assessment skills. This is where our supervisor training comes in….

Supervisor Training

The Senior Management and Certification regimes….

There are other regulatory pressures to take into account as well – ranging from the need to have adequate systems and controls, the fair treatment of  customers, and SM&CR. Competence is now a business-wide issue and increasingly, so is individual conduct and ‘accountability’.  These too can place a premium on having first-rate supervisory skills. For example:

  • How do you demonstrate someone is competent?
  • What training do line-managers and those who manage individuals in a ‘significant harm function’ need?
  • How do you show that you have effective supervision in place?

Supervisor Training

The challenges….

  • How do you show that new supervisors can demonstrate their competence before acting in this role? How do you do it in a way that supports the business?
  • How do you ensure existing supervisors develop their skills? As a minimum, could you demonstrate they have maintained their competence?
  • Last but not least, how can you do all of this in a way that helps everyone to do things better?

Supervisor Training

Commercial pressures…?

More demanding clients and increasing costs mean that many businesses have to be more effective and work smarter. We believe that good supervision is an essential business driver. High performing businesses have great people managers and a client-centric approach. It’s not just about monitoring and record keeping; lasting value comes from the development of skills and confidence.

Supervisor Training

Our in-house solution…

We offer workshops in-house.

Supervisor Accreditation Course
Target Audience: Existing and people new to the regulatory supervisory role.
Learning Aim: To develop and demonstrate the key skills required by the FCA to supervise and develop staff performance.
Learning Outcomes: 
Delegates will be able to:

  • Explain what’s on the FCA radar
  • Assess skills accurately using an observation aid
  • Prioritise the development needs
  • Conduct constructive feedback with staff to develop areas of weakness and build on strengths

Click here to download our adviser supervisor brochure which includes more detail

Learning Process:

  • Pre-course reading to cover knowledge requirements
  • 1 day workshop (with assessments)
  • Development Plan to ensure skills are transferred into the work place

Supervisor Training

What our clients say…

“Excellent delivery which supports the practical application of effective T&C and best business practices which add value.”

“..all of us found the day interesting, informative and effective. The facilitation of the day was refreshingly straight and detailed feedback was excellent.”

Supervisor Training