Supervisor Course (For Investment and Protection firms)

A two-step approach is taken to the course. Initially, the delegate is provided with pre-course work which provides practice for delegates in reviewing client interviews, assessing file reviews, undertaking knowledge assessments based on their own governance arrangement (the firm’s Training & Competence plan) and test SMCR knowledge based on their own business activities.
 
The second step is the course itself. Held online using Microsoft Teams, and taking place over two morning sessions (9:30 to 12:30), the course entails reviewing the pre-course work, discussing any learning points taken and looking at a supervisor’s activities to determine how a competence and certification process can be put in place for both the supervisors themselves, as well as for the advisers they supervise.
 
As you would expect, the courses have been fully updated in light of the introduction of the Consumer Duty and each course is unique, dealing with current compliance themes and best practice standards.
 
The courses are suitable for both new supervisors and those who have been in the position for a period of time but who may not have topped up their knowledge and learning recently.

Firms are encouraged to follow up the course with support from the Paradigm Consultancy team. The team can assist in reviewing the actual supervisor’s work in-field when undertaking (for example) observed interviews, 1-2-1 and KPI meetings and certification/competence assessments of the advisers their supervise. We also offer a ‘check the checker’ approach for supervisors who undertake their own in-house file reviews.

What does it cost?
The cost of each course, which includes the pre-course work is £650+VAT, with a second place being made available at £250+VAT for an individual from the same firm.