Regulatory Recruitment Executive

Resource Matters Ltd
Stoke Pound
08 Dec 2018
04 Mar 2019
Contract Type
Full Time

Our Client was founded in 1990 with more than £5 billion in assets under management, currently has around 250 independent financial advisers who provide financial planning-led wealth management advice. They are currently looking for a Regulatory Recruitment Executive to join their highly professional team in Bromsgrove.


  • To manage the IFA recruitment process, ensuring that all regulatory and internal requirements are satisfactorily adhered to in a timely manner
  • Conversing with recruitment candidates and Business Development on a regular basis ensuring that they are updated with the current application progress
  • To ensure that all necessary records are updated to reflect current recruitment status
  • To produce recruitment MI, where necessary, that is relevant to the duties undertaken
  • Upon instruction, to manage the co-ordination and participating where necessary in IFA inductions
  • To collate regulated induction packs for staff and advisers and recording as necessary
  • To co-ordinate the training system and assessment construction, including collation of results and exam MI
  • To assist in the analysis of Training & Competence MI on an on-going basis and ensuring swift delivery to T&C supervision to action
  • To co-ordinate the development of all Training & Competence regulatory templating i..e. role play assessment forms, development action plans, skill assessments etc
  • To ensure adequate T&C records are maintained
  • To provide minute taking support to Senior Management
  • To act as the main point of contact for the team in relation to departmental and consultant queries
  • To carry out any other departmental function as required

Key Risk Responsibilities

  • Understanding of regulatory recruitment process and of FCA T&C requirements
  • Co-ordinating and communicating effectively, ensuring that SLAs are adhered to
  • Delivery of accurate data and MI

Key Performance Measures

  • All functions conducted within set SLAs
  • Good quality MI in relation to tasks conducted
  • High level of accuracy
  • Adviser and departmental feedback



  • Experience in a customer-facing environment
  • Excellent communication skills
  • Excellent interpersonal skills, approachability and professionalism
  • A high standard of written and numerical skills
  • A high level of accuracy and attention to detail
  • Excellent organisational and prioritisation skills
  • Strong IT skills
  • Experience within Financial Services industry
  • Ability to work independently and on own initiative, where required
  • Ability to work to tight deadlines
  • Excellent problem solving skills
  • Ability to work within an environment that is fast-paced with competing priorities