Training and Development/Competency Manager
Salary
up to 45,000-50,000
Location
Coventry
Job Type
Full Time
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Are you looking for a new role in Training and Development? Looking to work for a Chartered firm who have a focus on the quality of their client service and building a secure and rewarding working environment?
I am working on a fantastic opportunity with an established directly authorised financial planning company. They are looking for an experienced Training and Competency professional with experience of working in the regulated financial planning arena to join a supportive and client-focused organisation. They are a chartered firm that is proud to be enjoying sustained growth with a structured yet dynamic approach to business which allows them to stay ahead of an ever-changing industry.
Along with the security of joining an established and hugely successful Independent Financial Advice firm, the role will allow you the autonomy to fulfil your responsibilities in a supportive and rewarding environment.
Purpose of the role:
To develop, maintain and promote the firms T&C framework in order to ensure a robust compliance culture, ensuring that regulatory and conduct risk is managed effectively and that Treating Customer Fairly principles are embedded within the organisation. Assessing Advisers needs for training and implementing support where required.
General Responsibilities
¥ Assisting in the design and delivery of training and development programmes based on the needs of the company and the individual financial planners.
¥ Ensure that the firm maintains accurate, detailed and up to date compliance/T & C records.
¥ Comply with the relevant Compliance, TCF, T&C and Financial Crime Procedures of the firm at all times.
¥ Ensure knowledge of the necessary regulatory requirements is kept up to date.
¥ Reporting all relevant compliance issues to senior management.
¥ Involvement in the design and delivery of training and development programmes based on the needs of the company and the individual financial planners.
¥ Provide updates on trainee progression, general attitude and adherence to company policies and procedures
¥ Working closely with the Compliance Manager to ensure consistency of message across the business.
¥ Ensure compliance with FCA rules and the Financial Services and Markets Act.
Authorisation of Individuals
¥ Ensure that the firm’s Adviser recruitment procedures meet the regulatory requirements and are adhered to.
¥ Ensure any new Adviser recruits are trained in both the soft skills along with the firm’s relevant procedures including complaints and financial crime.
¥ Ensure all approved persons read and understand the FCA Code of Practice and the firm’s internal Personal Account Dealing rules
Training and Development responsibilities
¥ Educate the client facing staff on the benefits of a robust T & C scheme.
¥ Ensure that all approved persons are subject to the necessary levels of supervision.
¥ Proactively identify common themes and risks across the business in terms of development areas or knowledge gaps.
¥ Proactively conduct observation visits across product areas, identifying the suitability of the advice given by the adviser and recommend and deliver remedial action for their development.
Relevant Skills and Knowledge to be successful in the application
¥ Minimum of Level 4 Diploma in financial planning
¥ A broad base of compliance knowledge and proven experience of working in an Adviser Training & Development role.
¥ Specific understanding/knowledge of the FCA COBS/SYSC rules
¥ Strong understanding of other relevant legislation within the UK regulatory framework
¥ Excellent communication skills, both written and verbal
¥ Ability to act with integrity, care and diligence in order to reinforce the companies values and way of working.
Please click to apply or contact Russell Davies for further information at [email protected] or 0117 9450450 / 07399 163961
quote reference 12963
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