Supervising Wealth Managers


Supervising Wealth Managers

  • LEVEL:Intermediate
  • PRICE:7500.00 AED

    The course introduces the necessary skills & knowledge required to provide the regulatory supervision of a team of Wealth Managers, advising High Net Worth clients. The basis of the course is to build the knowledge of what is required from a Regulatory Supervisor, plus the skills required to ensure that they are highly effective in their role.

    After this course, participants will be able to:

    • Summarise the Regulators’ Training and Competency requirements.
    • Describe the role and responsibilities of a Regulated Supervisor of a team of Wealth Managers.
    • Outline the competencies and positive behaviours required to be a highly successful Regulatory Supervisor.
    • Summarise what is required to achieve ’competency’ in a regulated Wealth Managers role.
    • Summarise what is required to retain ’competency’ in a regulated Wealth Manager role.
    • Identify regulatory issues and outline reporting requirements, plus appropriate corrective action.
    • Outline a comprehensive recruitment process for a regulated Wealth Manager.
    • Prepare an Action plan, so that they can excel in their role as a regulated Supervisor.

    The course is intended for those who are looking to become a regulated supervisor or those that are relatively new to the role. It is particularly relevant, to those that have limited supervisory experience, or work as part of a new team & are looking to establish a robust compliant Wealth Managemen


    A good understanding of the Wealth Management industry.

Please contact the Academy if you are interested in attending this course.