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T & C Compliance Manager

Posted 24 April by Cameron James Featured Ended

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.

Key Tasks:-

  • 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

Key Requirements:-

  • 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

Required skills

  • Training and Competence
  • Wealth management
  • Diploma 4
  • FCA guidlines

Reference: 34531704

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