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Training & Compliance Supervisor
Hybrid in Birmingham
Up to £50k
Training & Compliance Supervisor
Role Purpose:Â 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.
