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Supervision in a Regulated Environment (J07)

Supervision in a Regulated Environment (J07) provides an overview of the knowledge required to supervise someone who gives advice on regulated products under the FCA Training and Competence (T&C) requirements in the UK. This includes investment advisers, those who provide advice on mortgages and insurance, and some administration functions covered under the ‘overseer’ rules.

The default Enrolment option for this unit includes:

  • Latest version of the core learning content, in digital format only.
  • Assessment entry.

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The FCA’s T&C arrangements are intended to develop the competence and abilities of staff covered by T&C and deliver fair outcomes to customers by having effective supervisory processes in place.

We look at how the supervision of a trainee adviser will be different to that of an experienced adviser and the specific requirements that apply at various stages of the advice process. We consider the competencies required by supervisors and overseers, the nature of supervision and how different degrees of supervision should be applied. We explore effective leadership, including how people are motivated, how to manage disagreements, potential conflict and change.

This text also looks at different methods of communication, how people learn and how training is validated. Finally, the study text looks at planning and the types management information necessary for effective supervision.

Building a successful career in personal finance

Supervision in a Regulated Environment (J07) is suitable for anyone seeking to build their understanding of the knowledge required to supervise someone who gives advice on regulated products under the FCA Training and Competence (T&C) requirements in the UK.  This unit counts towards the Diploma in Financial Planning, suitable for paraplanners, technical consultants and those supporting financial planning processes, in particular those who already hold CII credits that count towards completion (otherwise, the Diploma in Regulated Financial Planning is more suitable).

Purpose

At the end of this unit, candidates should be able to demonstrate an understanding of:

  • the supervisor’s role in a regulated organisation;
  • the principles and practices of recruitment and training;
  • attaining, maintaining and supervising competence;
  • management information and performance standards;
  • Financial Services regulation and guidance;
  • the legal and regulatory aspects of employment and supervision.

Assessment

  • 2 hour exam
  • Written short answer questions
  • The nominal pass mark is 55%
  • The 2020 pass rate for this unit was 76%

Study material - editions available

Applicable to Apr and Oct exams within a 12-month enrolment period.