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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 and head in Tyne and Wear recruiting for an Experienced Training and Competence Compliance Manager.

The Position is available either working from Newcastle or London.

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: 34541391

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