Training and Competence Manager

Training and Competence Officer

£45,000 to £50,000

Field Based - predominantly home based, with some travel to regional offices.

Our client provide a broad range of wealth management and financial planning services, tailored in-house model portfolios and discretionary investment management services. They are fully independent and seek always to provide the most appropriate solutions for their clients.

Purpose of the role:

• Ensuring the training, competence, and professional development of those subject to the FCA's regulatory requirements and business expectations.
• Responsible for monitoring the firm’s adherence to the T&C Scheme and regulatory regime.
• Responsible for overseeing how the Management Team are adhering to the internal and external polices and regulation.
• Working as part of the compliance monitoring team, but also liaising closely with the Head of Financial Advice, you will ensure that there is effective communication and interaction with other departments.

The role is field-based and may include travel throughout mainland UK, however they do look to make use of technology including video conferencing to facilitate efficient business practices. The T&C Monitoring Officer will be required to attend head office and regional offices for regular meetings.

Requirements:

• Ideally QCF Level 4 or good progress towards.
• Experience of the monitoring of supervision in a regulated environment and the ability to build and maintain professional relationships.
• An understanding and knowledge of relevant FCA rules and guidance including SMCR/Code of Conduct, Fit & Proper, TC, SYSC & COBS.
• Good understanding of other relevant legislation, including that related to financial crime and Data Security.
• Experience of working within a financial services compliance environment, the ability to interpret FCA regulation and guidance accurately and to do so proportionate to the needs of the organisation.
• Knowledge and understanding of assessing competence of those holding an advisory role and identifying means of developing those that are not yet Competent (CAS)
• A focus on the best possible outcomes for clients including TCF and the Consumer Duty.
• Strong, confident verbal and written communication/presentation skills both internally and externally.
• Ability to influence, validate and monitor objectives and prioritise delivery in line with business objectives.

How to apply:

Please send your CV directly to Stuart or contact him on 0 7 7 4 7 7 8 2 9 3 4 for further information.