Cameron James are working with a leading Financial Services firm based in the City of London recruiting for an Experienced Training and Competence Compliance Manager.
About the Company:-
Our clients specialise in Holistic Planning and Investment advice with access to a wide range of products and services. Established over 10 years ago, they have fast become the leading names in financial advice and currently boast over 7 billion pounds in fund management with 40,000 Clients managed by 400 Skilled Advisors based nationally across the UK.
- To assist advisers and Partner Firms with achieving their business objectives
- Undertake telephone based Compliance and Supervision coaching with advisers in line with the firms Compliance requirements and training & Competence Scheme
- Support the development of adviser competence.
- Identify the training needs of new and existing colleagues by liaising with Group Compliance Managers
- Contribute to the design and delivery of training and development programmes based on the needs of the organisation and the individual as instructed by the Group Operations Director.
- Record and report monthly MI accurately reflecting T&C activity
- Assist the Group Head of Compliance to ensure that statutory training requirements are met
- Provide updates on trainee progression, general attitude and adherence to company policies and procedures
- Undertake any further duties determined as reasonable and necessary in fulfilment of role
- Define and provide evidence (record keeping) of competence for all authorised advisers, both attaining & maintaining competence
- Supervise, coach and mentor trainee advisers (or those deemed as non-competent)
- Act as a coach / mentor for the Supervisor Team to enable them to attain & maintain competence in line with the people strategy and regulatory obligations
- 3 years financial services industry experience, of which they have ability to demonstrate key working examples of key tasks
- Qualified to Diploma Standard - essential
- Sound knowledge of UK regulatory framework
- Previous experience of training and/or coaching a team or individuals
- Able to form good working relationships
- Ability to work under pressure
- Display role model behaviours in line with Group values, policies and procedures
- Training and Competence
- Wealth management
- Diploma 4
- FCA guidlines