Financial Planning Training And Development Manager – Birmingham
Salary
55,000 - 65,000
Location
Birmingham
Job Type
Full Time
This position has now been filled. If you are looking for a job, let us help you find a similar job.
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 âfit and proper â 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 âfit and properâ requirements
- 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
- 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