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Great ROLE for a HUGELY SKILLED MINIMUM DIPLOMA QUALIFIED T&C MANAGER WHO WILL BE A TRAINING TEAM MEMBER AND COMPETENCY MANAGER IN THE FINANCIAL SERVICES COMPANY, LINKED TO THE COMPLIANCE TEAM, FINANCIAL ADVISERS, COMPLIANCE CONSULTANTS & OTHER SERVICE PROVIDERS) & LINKED TO THE FOLLOWING LINKED TO THE TEAMS. YOU WILL REPORT TO THE HEAD OF COMPLIANCE MANAGER.
YOU MUST HAVE :-
- Oversight & implementation of the T&C function for the Company's ADVISER COMMUNITY
- You will be at the forefront of regulatory oversight of the FINANCIAL ADVISERS, & a leader who can shape a first in class Supervision Framework strategy to ensure robust oversight measures are in place. Reflecting the FCA expectations in the changing regulatory environment, you’ll ensure compliance with the FCA TC Handbook & consider conduct risks
- As the manager you will be a key member of the Compliance team, as the FINANCIAL COMPANY EXPERT COMPLIANCE EXPERT on T&C supervisory oversight and integral in maintaining strong controls to ensure the right client outcomes
- To provide detail-oriented & proactive KPIs for all THE COMPANY ADVISERS
- Maintain accurate recording linked to evidence T&C activities undertaken & ensure THAT ADVISER T&C files are up to date
- Responsible for assessing, developing, & implementing training programs to ensure COMPANY EMPLOYEES possess the necessary skills & competencies to excel in their roles, particularly relating to industry specific challenges
DUTIES AND RESPONSIBILITY :-
- Experience in the delivery of T&C requirements in A WEALTH MANAGEMENT FINANCIAL FIRM
- Undertake regular client file reviews to maintain quality & identify potential training needs
- Delivery of the certification & conduct rules controls as part of SMCR
- Conduct training needs assessments to identify skill gaps & training requirements
- Coach managers to create high performance & achievement of departmental & functional objectives consistently
- Develop & implement effective training programs & materials, including learning modules, workshops, & seminars
- Monitor & evaluate the effectiveness of training programs through feedback, assessments, & performance metrics, SLAs, including attending adviser/client meetings
- Collaborate with department heads & managers to ensure training programs align with organisational goals & objectives
- Maintain accurate records of employee training & competency levels
- Provide support & coaching to employees to enhance their skills & competencies
- Stay updated with industry trends & best practices in training & develop
SKILLS AND KNOWLEDGE REQUIREMENT :-
- At least 5 years in a T&C role and either previous adviser role or similar financial services experience role
- Minimum of Diploma qualified, DipPFS
- Ability to travel to other company areas when required
- Willingness to undertake study
- Ability to manage own workload & work within a small team
- Knowledge of business processes, standards, policies & procedures
- Experience within the Financial Services Industry with knowledge & understanding of FCA regulations
- Exceptional communication skills at all levels
- Excellent organisational skills
- Knowledge of Microsoft Word, Excel, Outlook and ideally Intelligent Office,
- ALSO Ideally educated to degree level with a relevant industry qualification, ATD or equivalent
- Strong regulatory awareness & Ability to work under pressure required
Great skilled very strong COMPLIANCE MANAGER ROLE LINKED TO FINANCIAL SERVICES
