Training & Competency Manager Wealth Manager

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Training & Competence Manager | Financial Planning & Investment Management
Central London
Salary up to £60,000 plus benefits

A leading integrated wealth manager with a national presence.

You will be responsible for the training and competency framework, policy and for the supervision of all regulated staff within the Asset Management and Financial Planning divisions. The role will ensure that the Training and Competence Scheme is communicated to all employees who undertake regulatory activities and work with managers to embed appropriate training and development to maintain ongoing competence in all areas.

– Work in partnership with stakeholders to implement and embed an appropriate culture that promotes an understanding and knowledge of regulation in Asset – Management and Financial Planning ensuring adherence and compliance to the framework.
– Work in partnership with the L&D Manager (within HR Function) to implement and embed the T&C Scheme in Asset Management and Financial Planning.
– Act as an interface between the business, senior management and various support functions for training, competency and recruitment.
– You will oversee all T&C supervision for regulated staff including financial planners and Investment Managers. This will involve collating file reviews, face to face feedback and observations. You will undertake ad hoc training including compliance and product areas, supervise all new staff in regulatory roles and ensure they are signed off as competent.
– Work with the L&D Manager to develop and provide accurate reporting of T&C MI and performance to the ExCom.
– Provide continual oversight and feedback on successes and gaps
– Oversee the day-to-day management, maintenance, adherence to and ownership of the T&C Scheme.
– Work with the L&D Manager to ensure the CPD framework for Approved Persons and Senior Manager Regime is implemented as required.
– Ensure that the management team is kept informed of all emerging risks and that they are apprised of progress in relation to the management of existing key risks.
– Monitor and act on recommendations from Internal Audit and Compliance.

Candidates

– Must have QCF Level 4 or above
– Background in training & competence with the ability to identify training needs
– Strong understanding of FCA rules and guidelines
– In depth knowledge of UK financial planning legislation.
– Knowledge of UK regulatory bodies, legal requirements and accredited bodies.
– Experience and evidence of delivering improvements through T&C.
– Experience of managing and implementing change.

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Foot Note:

If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies.

Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.