The CII J07 October 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, October 2021.  

You can find the exam guide here.  

Just like the other J0 papers, this is a 2-hour exam that uses short-answer questions.  Total marks available are 130.  

The exam covered the following areas, with the marks available given in brackets:  

• Pension administration and the areas of competence of overseer manager. (7) 
• Roles of the ‘six thinking hats’ in the De Bono model. (12) 
• Barriers to communication and recommendations to deal with them (6) 
• Application of the Thomas Kilman model to scenarios (14) 

  The #CII #J07 syllabus is wide, with a great level of detail required to gain a pass. Here is a review of the last exam paper. Share on X  

• Key factors used by HMRC to assess employed and self-employed status (10) 
• Training needs of advisers and requirements of SPS (8) 
• Advantages and disadvantages of on-the-job observation (8) 
• Skills needed for effective counselling (7) 
• Key requirements of the role of supervisor (8) 
• Regulatory disclosure when advising a new client (9) 
• The management control cycle and its purpose (7) 
• Stages of competency-based development and talent management (7) 
• Treating Customers Fairly outcomes (6) 
• ‘Investors in people’ accreditation process and examples of benefits for staff (12) 
• Equal Opportunities Act 2010 (9)

Overall, candidates may have been challenged with some topics not overly tested in this paper in the past.  But there were enough of the expected topics that the well-prepared candidate would have been ready for.   

Comparison with the June 2021 Exam Paper 

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

 The topics covered were:  

• 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)  
• Roleplay 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) 

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!