Training and Compliance Supervisor

Training & Compliance Supervisor

Hybrid in Birmingham

Up to £50k

Training & Compliance Supervisor

Role Purpose: Support the delivery of an effective Training & Compliance function, maintaining high standards and identifying potential risks to the group's reputation, safety, security, or financial position.

Key Responsibilities:

• Develop and implement processes to handle regulatory issues.
• Ensure adherence to FCA and internal Training and Competence (T&C) Scheme.
• Deliver training and ensure competency of new starters and Advisers.
• Support all business areas with compliance-related issues.
• Draft and update training & compliance policies and procedures.
• Conduct internal reviews or audits to ensure compliance.
• Provide management information for reporting purposes.
• Manage and maintain internal T&C resources.
• Keep up to date with regulatory developments and maintain CPD records.

Training & Compliance Monitoring:

• Ensure all staff have the skills and knowledge for their roles.
• Develop criteria for assessing competency.
• Measure and report KPIs reflecting business needs and risks.
• Conduct weekly file checks and identify training needs.
• Oversee regular auditing for FCA compliance.
• Provide advice on T&C, including file reviews and financial promotion approval.
• Ensure annual Fit & Proper assessments and training records are up to date.
• Oversee regulatory training delivery, e.g., AML and GDPR.

Benefits:

• Full-time; Permanent
• Up to £50k
• Hybrid working
• Holiday - 23 days with bank holidays on top
• Day off on your birthday
• Group pension scheme
• Death in Service 4x
• Discretionary annual company bonus

If you feel you'd be a good fit for the role, please apply below or alternatively please contact directly.