Training and Competency Supervisor

Our client, an exciting forward-thinking independent financial advice firm are looking for a looking for a Training & Competency Supervisor to support the growth of the business.

The Training & Competency Supervisor will be responsible for ensuring adherence to both the FCA’s and internal Training and Competence (T&C) regime, which requires firms to be able to demonstrate that relevant staff have the right qualities and competencies to carry out their responsibilities appropriately.

Role Responsibilities:

• Oversight of the T&C function for the firm.
• Ongoing development and improvement of a clear and comprehensive T&C scheme which is appropriately personalised to the needs of the business and evidences the competency of relevant individuals.
• Ensure that everyone connected to the firm’s regulated business has the skills, knowledge, and expertise to carry out their role appropriately (including non-advisory employees). 
• Develop clearly defined criteria and procedures, setting out the specific point when someone will be assessed as being competent. 
• Ensure that the T&C Scheme can be adapted to respond to changes in regulation or updates to the firm’s business model or service proposition.
• Develop measurable and meaningful KPI’s which reflect the needs of the business and allow for measurement of potential risk to the business.
• Maintain appropriate records to evidence compliance with the FCA’s Training and Competency requirements. Documenting the all aspects, from the recruitment of individuals, induction and initial training, through to attaining and maintaining competency.
• Provide guidance and advice on regulatory matters across the business, with Head of Compliance support.
• Manage and maintain internal T&C resources.
• Weekly file checks, maintain the grading system, regular review of files to maintain quality and identify potential training needs.
• Overseeing regular auditing to ensure compliance with FCA regulations.
• Interpret regulatory requirements and implement practical, compliant solutions.
• Keep up to date with regulatory developments and maintain CPD records to evidence this.

Key Skills and Responsibilities:

• Experience of undertaking a similar role within a Financial Planning/Wealth Management business.
• Level 4 Diploma in Financial Planning
• Knowledge across areas such as Life, Pension, Investments and Mortgages.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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