Supervisor’s Training Workshop

For IFAs and Mortgage Brokers

FCA rules and guidance state that “Firms should ensure that those supervising employees ……. have the necessary coaching and assessment skills ….. to act as a competent supervisor and assessor.”

It is important therefore that firms can demonstrate that they meet the FCA’s rules and guidance in this respect, particularly those firms who have not yet been subject to the FCA Business Risk Awareness assessments.

ATEB provides training to address this need; details of our next scheduled Supervisory Training Workshop are shown below.

  • Date: Thursday 25th September;
  • Location: Newcastle upon Tyne;
  • Duration: All day;
  • Cost: £200 plus VAT per person.

Content:

  • Overview of general T&C requirements on regulated firms;
  • Setting customer facing sales process standards;
  • Consistent and accurate assessment skills;
  • Theory of coaching and training;
  • Training Needs Analysis completion;
  • Constructing SMARTA development plans;
  • Structuring one to ones;
  • Monitoring performance.

Joining Instructions:

  • These will be issued 7-10 days prior to the workshop.

Only 16 places are available on each course and will be allocated on a first-come, first-served basis.

Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

With the FCA Business Risk Awareness assessments soon to hit the North East and Cumbria, firms should consider whether supervisors have up to date training in this respect.

Places fill up quickly, so to avoid disappointment reserve your place as soon as possible

Action Required By You

Email here to reserve your space on the workshop.

Please provide:

  • Attendee Name;
  • Telephone Number;
  • Email Address;
  • Postal Address.

About the Author

Steve is an ATEB Director and has a deep understanding of all matter regulatory, built up over his 30 years + in the industry. With a training background and a technical brain, he overseas numerous complex projects and client implementation work.

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