The CII J07 June 2021 Exam in Review

Here, we are looking at the J07 exam – Supervision in a regulated environment – that was sat in the last exam sitting, June 2021.

You can find the exam guide here.

As with the other written J0 papers, two hours are given to answer 15 short-answer questions, for a total of 130 marks.  The exam covers a wide range of topics, and this exam covered the following topics (with the relevant marks given in brackets):

• The key methods a supervisor could use to monitor an adviser’s performance (10)
• The five key needs according to Maslow’s hierarchy (10)
• The features of a facilitative meeting and a directive meeting (8)
• One-way and two-way communication used in the workplace (11)

• Elements to be included in the specification for a supervisor in accordance with the Rodgers’ framework (8)
• Kolb’s learning cycle (5)
• Role play rather than accompanied client meetings when training financial advisers (6)
• Key coaching skills of a supervisor (10)
• Advantages of using indirect evidence to assess competence (9)
• Key purpose of the FCA conduct rules (7)
• Verification requirements (9)
• Key requirements for effective management information and how it can meet regulatory requirements (9)
• Guidelines that managers should follow to conduct an effective appraisal (8)
• The key concepts of Total Quality Management (8)
• Claim to an employment tribunal following a dispute (12)

Overall, the paper covered a wide range of important topics some of which have been tested many times in past papers.

Comparison with the March 2021 Exam Paper

Let’s look at what was tested in the previous exam, held in March 2021, which can be found here.

The topics covered were:

• The key activities a supervisor undertakes to ensure customer expectations are met
• When direct supervision and indirect supervision is more appropriate for advisers
• Myers Briggs Type Indicators
• The complaints procedure
• Information an employee must receive in their statement of employment
• Training and competence scheme
• The recruitment process
• Learning style preferences
• The benefits of training validation
• The key features of effective feedback
• Actions an adviser must undertake when presenting investment recommendations
• The GDPR
• Stages of business planning; strategic, tactical and operational planning.
• MI a supervisor needs to enable them to effectively manage a team.
• Types of workplace discrimination.

The range of topics is wide in J07 and as you can see vary considerably in these two exam papers. It is therefore a key part of any study schedule to include as many past papers as possible and read the examiner’s comments, as these often give good tips on where the candidates went wrong and tips for improvement.

Grab the resources you need!

If you’re studying for your CII J07 exam, and you want to be fully prepared, grab our free taster to try out one of Brand Financial Training’s resources for yourself.  Click the link to download the J07 mock paper taster now!