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J07 Exam: Supervision in a Regulated Environment

J07 Exam: Supervision in a Regulated Environment

The J07 exam can be used towards achieving the CII Diploma in Financial Planning. This diploma is not enough to achieve the new required QCF level 4, but provides useful information for those who eventually plan to seek the Advanced Diploma in Financial Planning. The Diploma in Financial Planning requires 140 credits, 80 of which must be achieved through diploma level courses or higher. There are various different routes towards reaching the required number of credits. Candidates can choose from several units, depending on their areas of interest, career aspirations, and any existing qualifications.

The J07 exam is worth 20 credits (at diploma level) and is estimated to take 90-100 study hours, although this may vary by student. Upon completion of the J07 unit, candidates are expected to have developed an in-depth understanding of the key supervisory concepts and approaches.


  • The essential role and characteristics of a supervisor
  • Different models for leadership and behaviour
  • Identification and description of the most effective forms of communication
  • Laws and regulations relating to training and competence
  • Procedures for coaching, counselling and assessing processes
  • The importance of compliance in the sales process
  • Understanding the learning process
  • How to set and measure objectives
  • Information on management and quality standards
  • Employment law, particularly in relation to performance management and termination

Key Facts:

The J07 exam is a 2-hour written exam, which takes place twice per year (April and October) in a number of test centres across the United Kingdom, including Birmingham, Carlisle, Leeds and London. The exam is made up of 15 written short-answer questions and the nominal pass mark is 55%.

Brand Financial Training Study Aids:

The Brand Financial Training Mock Exam Papers have been used by many candidates to help them prepare for, and pass, the J07 exam. Consisting of three full sets of exam questions written in the CII exam question style, the Mock Exam Papers are available in PDF format. This makes them a convenient study aid, which can be printed out in the order desired by the candidate. The Brand Financial Training Newsletter is a free monthly publication that is packed with useful tips, articles and study advice, essential for candidates studying for any of the financial exams.

Information in this article is correct as at August 2011


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