Training and Competence Supervisor

Job Title: Training & Competence Supervisor Industry: Financial Services Location: Waterlooville, Hampshire Salary: up to £40,000 Reference Number: 14020 Job Description: Recruit UK are working on an excellent opportunity for a Training and Competence Supervisor in Waterlooville to join a Wealth Management firm. This position would involve, acting as an ambassador of the Compliance Function in delivering the T&C Supervision requirements of the firm. You will be responsible for ensuring the training, competence and professional development of those subject to the FCA’s Approved Persons Regime (APER), meet regulatory requirements and business expectations. You will assist in delivering core training and development support to advisers, paraplanners and other members of the Compliance Team. You will be largely field-based and as such will need to be willing to travel throughout the UK (although predominantly in the South of England), a full clean driving license will be required as well as the ability to manage your time flexibly, attend head office for regular meetings and to support the new adviser induction program. General responsibilities:

• Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice for approved persons and the relevant FCA rules at all times.
• Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud, and corruption) procedures of the firm at all times.
• Keep up to date with all relevant product, legislative and technical changes.

  Specific responsibilities:

• Effectively deliver the Training and Competence requirements of the firm, including
• Assessing the competence of advisers,
• Identifying knowledge or skills gaps and applying coherent plans to close the gaps.
• Developing pre-CAS advisers to full competence.

 

• Supervise advisers within your span of control.
• Support adviser training generally and as needed.
• Support advisers in developing their business goals and objectives.
• Maintain accurate records relating to T&C and other matters.
• Support the firm’s Compliance function.
• Maintain personal knowledge and skills by completing ongoing CPD.
• Monitor advisers’ performance against company Key Performance Indicators and take appropriate action where necessary to address any underperformance or gaps.
• Maintain complete, up to date records supporting assessment and maintenance of competence, including ensuring SPSs and internal licenses/testing are up to date and appropriate CPD is completed.
• Accompany advisers in client meetings where appropriate, with clear objectives set and feedback provided specifically to the adviser’s competence.
• Report regularly to senior management on the competence of advisers including escalating any material issues or breaches in a timely fashion.
• Deliver regular feedback to management on the performance of individual advisers and any emerging issues.

  What’s in it for you:

• Monday – Friday, 9 am – 5 pm with flexibility
• Competitive salary
• Discretionary bonus
• Excellent and supportive

  Skills and experience required:

• QCA Level 4 or good progress towards
• Experience of supervision in a regulated environment and the ability to build and maintain professional relationships.
• Knowledge and understanding of the FCA’s regulatory and compliance procedures including record keeping requirements.
• Knowledge and understanding of assessing the competence of those holding an advisory role and identifying means of developing those that are not yet Competent (CAS)
• A willingness to work closely with colleagues to ensure the best possible outcomes for clients.
• Ability to demonstrate that you are a person of the highest integrity.

  About Recruit UK: As specialists in financial services recruitment, we bring unique expertise, insight, and connections, whether you are looking for a new job or are trying to fill a role. We have a reach of more than 100,000 financial services connections. Right now, Recruit UK are pleased to be working with a Wealth Management Firm based in Waterlooville on a Training and Competency role.   Our commitment to you

• Start every journey with a conversation to find out about you in-depth.
• Provide honest feedback on where you fit in the jobs market.
• Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you.
• Take a holistic mindfulness approach – career happiness is rarely just about the money.
• Cover the whole of the UK with a local touch through our regional teams.
• Never pester you.

      This position is now filled. If you are looking for a position like this, then visit our career consultation page and book a talk with one of our experts to find the perfect job for you.