Training & Competency Associate - Compliance

Recruiter
Anonymous
Location
Bath
Salary
35000.00 - 40000.00 GBP Annual + GBP35000 - GBP40000/annum
Posted
15 Oct 2016
Closes
09 Nov 2016
Sectors
Training
Contract Type
Permanent
Hours
Full Time
Purpose of the role:

To ensure compliance with internal policies and procedures and FCA regulatory requirements are met across the Group. To provide ongoing Training & Competency monitoring of Financial Planners and appointed representatives across the Group in conjunction with the Training & Competency Manager. To undertake file reviews in conjunction with the Business Quality Manager to ensure that the advice provided meets business standards and regulatory requirements.

Main responsibilities:

Regulatory/Technical Support

Identify key areas for development within the advice process and take steps to help address any knowledge and skill shortfalls.
Maintain, update and review T&C records in conjunction with the T&C Manager.
Regulatory Developments

Maintain awareness of Regulatory developments which may have an impact on the business.
Identify any issues which may adversely affect the business, escalate to Head of Group Risk as and when necessary.
Develop a solid working knowledge of all FCA regulated product ranges, service providers, investment platforms and FCA Principles and Rules.

Experience:

Essential:
Time spent in similar role within Financial Services Industry
Demonstrable knowledge and/or experience of T&C regime and implementation and file reviews
Extensive experience of working with Microsoft Office products including Word, Excel, Outlook and PowerPoint
Experience of delivering accurate and relevant information in an appropriate and timely manner

Desirable:
Experience of the Enable back office system
Experience of cashflow modelling

Skills & Qualifications:

Essential:
DipPFS
Good working knowledge of FCA Principles and Rules
Strong interpersonal, communication and customer service skills
Excellent accuracy and attention to detail
Proven ability to work on own initiative and good organisation skills
Excellent research and report writing skills.

Desirable:
Group training techniques
Management skills
Preferably working toward APFS or hold APFS

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