Training & Competence Manager

My client is a fully independent Financial Advisory firm, providing businesses and individuals across the UK with sound advice regarding Investments, Pensions, Estate & Retirement Planning.

We are urgently seeking an experienced Training & Competence manager to join the firm, you will take full ownership of the Training & Competence needs of the firm, working with around 30 qualified and registered individual, managing and scheduling all aspects of oversight competently and within desired company timescales. Specifically you’ll:

Keep up-to-date with regulatory and industry developments
Maintain a specified span of control of up to 30 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired timescales
Monitor AR firms, coaching and mentoring approved persons both remotely and on-site, to ensure compliance with both regulatory rules and our procedures
Liaise effectively with senior management in respect of regulatory issues
Assist in providing a timely response to requests for information from the FCA
Apply a risk-based and common-sense approach to the compliance monitoring process
Undertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks
Undertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly
Test approved persons according to scheme requirements in respect of product knowledge and appropriate practices, and provide relevant feedback and training guidance where necessary
Test and supervise new joiners to AR firms, ensuring that supervision and formal sign-off procedures are applied as appropriate.

For this position we are seeking a Diploma Level 4 qualified individual within regulated Financial Planning (or equivalent), ideally with the desire to continue studies of any further qualifications required, or towards Chartered status. You will need to have sound solid knowledge of FCA rules and regulations and their interpretation / implementation, with the ability to train and develop others. Over and above that you’ll need to have a great personality with highly developed analytical, observational and communication skills.

We would be open to considering those already working in T&C roles, whom feel like it’s time to take more ownership of what they are doing, or a qualified Financial Adviser seeking to make a slight career change.

A great salary and package is offered for this role, get in touch for further details.