Financial Planning Training And Development Manager – Birmingham
55,000 - 65,000
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- 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 Ã¢fit and proper Ã¢ 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 Ã¢fit and properÃ¢ 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