At least 3-5 years’ experience in the financial services or Life Assurance industry
Duties and Responsibilities
Implement and ensure compliance with the supervision agreement
Mentor and coach the supervised representative in respect of the financial services and financial products for which it is appointed in order for the supervised representative to acquire the required skills, knowledge and competencies to perform its functions.
At regular intervals review and assess the learning activities and progress of the supervised representative, including recording observations and aspects of further development
Immediately report to the FSP any unfair treatment of a client as a result of the supervised representatives’ actions or where the representative’s actions may not have been in the best interest of the client
Record and document the method, frequency and level of intensity of supervision and any changes to the aforementioned
Keep all records relating to the supervision, including information and documentation relating to development training, supervision activities, assessments and decisions to implement a reduced level of supervision
The supervisor must ensure that the supervised representative has a good understanding of the products for which they are under supervision
Ensure that regular supervision meetings with supervised representative are held
Where necessary assess the interaction between the supervisee and clients
Assess knowledge and expertise in providing financial planning services including technical product information
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