Financial Planning Training And Development Manager – Birmingham

recruitukltd Salary: £55,000 - £65,000

Are you looking for a new role in compliance / Training and Competency? Looking for a company which values it’s employees and their own career goals?


I am working on an excellent opportunity for an experienced financial planning Training and Competency professional to join a supportive and client focussed team in a central Birmingham. Along with the security of joining an established and hugely successful International Financial planning organisation the role will allow you the autonomy to fulfil your responsibilities in a supportive and rewarding environment.

Purpose of the role:


To assist in maintaining the firms T & C framework to promote a strong compliance culture, ensuring that regulatory and conduct risk is managed effectively and that Treating Customers Fairly principles are embedded within the organisation.


General Responsibilities

  • Assisting the Compliance Director in providing T & C support to MFP
    • Ensuring that both firms meet their FCA responsibilities with regard to T & C
    • Acting as a T & C Supervisor
    • To provide coaching, feedback and training to advisers
    • to support advisers in achieving and maintaining competent status
    • Ensure Advisors obtain and renew their SPS as required to give advice to clients
    • Regular liaison with other T & C supervisors to ensure their compliance with the scheme
    • Implementing changes/updates to the scheme when required
    • Monitoring Advisors ongoing compliance with the scheme and “fit and proper “ rules
    • Collecting, analysing and recording Key Performance Indicator information as required by the scheme
    • Reporting via the Compliance Director to the Board on all aspects of the scheme
    • Maintaining the T & C records as required by the FCA
    • Responsible for recruitment administration for all new Advisors to ensure meet FCA “fit and proper” requirements


Training and Development

  • To help staff with day to day compliance queries
    • To help write and maintain key internal guidance manuals for example AML and financial crime
    • To build a positive relationship with colleagues and key contacts
    • Ensure prompt and effective communications with internal/external contacts
    • To uphold compliance standards and look to minimise risk of day to day activities of the firm
    • To file and store records in accordance with internal standards so they can be accessed and or retrieved in an efficient manner
    • To approve financial promotions in line with FCA rules and guidance
    • To undertake file reviews as requested and provide feedback to Advisors
    • To maintain a good understanding of a broad range of financial products and associated legal and regulatory requirements , particularly pension products and legislation
    • To identify and refer opportunities to improve working practices and /or risk management to enable improvements to be made


Relevant Skills and Knowledge

  • Broad base of compliance knowledge and proven experience of working in a T &C / Adviser training and development role.
  • Practical Compliance experience within the financial services sector preferably with an Independent Financial Adviser
  • Specific understanding/knowledge of the FCA COBS/SYSC rules
  • Good understanding of other relevant legislation, including that related to financial crime
  • Strong communication skills – written and verbal
  • Ability to act with integrity, due skill, care and diligence.
  • Experience with Intelligent Office or similar back office system


For more information on this role, please contact Russell Davies at Recruit UK on 01179-170418. Quote ref 12619

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