Training & Competence Supervisor

22 Dec 2020
19 Jan 2021
Contract Type
Full Time

We are seeking a Training & Competence Supervisor with experience of supervision in a regulated environment, ideally QCFL4 qualified. You will be accountable for the training, competence and professional development of all relevant teams to meet regulatory and business requirements. This is an exciting and challenging role reporting to the Training & Competence Manager.

You will have gained your experience within a financial services compliance environment, ideally within Wealth Management and have a good understanding and knowledge of relevant FCA rules and guidance. You will be able to work independently and as part of a team; build strong relationships across the business and develop the business knowledge and competence through effective coaching, training and assessment.

A strong communicator with good attention to detail; a brand ambassador for best practice and a passion for learning, training and sharing knowledge. In these unprecedented times, video coaching, inductions and training have become the norm and will be part of the way forward so having experience and enjoying delivering in this way would be advantageous.

This role will be mainly field based, and you will be required to work out of/visit multiple sites within the Group. You will need to have a home base in the Southern part of the country for this role.

Purpose of the role

To act as an ambassador of the Compliance Function in delivering the T&C Supervisory requirements of the firm. You will be responsible for ensuring the training, competence and professional development of those subject to the FCA's Senior Management and Certification Regime and meet regulatory requirements and business expectations. You will assist in delivering core training and development support to advisers and other staff subject to the conduct rules.

The successful candidate will be largely field based and as such will need to be willing to travel throughout mainland UK, however we do look to make use of technology including video conferencing to facilitate efficient business practices. A full driving licence will be required as well as the ability to manage their time flexibly, attend head office for regular meetings, regional offices for group training and to support the new adviser induction programme.

Relevant skills, knowledge and behaviors

* The requisite technical knowledge and qualification - ideally QCF Level 4 or good progress towards.

* Experience of supervision in a regulated environment and the ability to build and maintain professional relationships.

* An understanding and knowledge of relevant FCA rules and guidance including; code of conduct, Fit & Proper, T&C, SYSC & COBS.

* Good understanding of other relevant legislation, including that related to financial crime and Data Security.

* Experience of working within a financial services compliance environment, the ability to interpret FCA regulation and guidance accurately and to do so proportionate to the needs of the organisation.

* Have good attention to detail, the ability to work independently as well as part of a team and an interest in researching requirements and promoting effective solutions in line with legislative requirements.

* Knowledge and understanding of assessing competence of those holding an advisory role and identifying means of developing those that are not yet Competent (CAS)

* A willingness to work closely with colleagues to ensure the best possible outcomes for clients.

* The ability to demonstrate that you are a person of the highest integrity.

General responsibilities

* Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.

* Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all times.

* Keep up to date with all relevant product, legislative and technical changes.

* Ensure that the firm maintains accurate, detailed, and up to date compliance records across all areas of the firm's business but specifically in relation to regulatory supervision.

Specific responsibilities

* Effectively deliver the Training and Competence requirements of the firm, including

* Assessing the competence of advisers,

* Identifying knowledge or skills gaps and applying coherent plans to close the gaps.

* Developing pre-CAS advisers to full competence.

* Supervise advisers within your span of control.

* Support adviser training generally and as needed.

* Support advisers in developing their business goals and objectives.

* Maintain accurate records relating to T&C and other matters.

* Support the firm's Compliance function.

* Maintain personal knowledge and skills by completing ongoing CPD.

* Monitor advisers' performance against company Key Performance Indicators and take appropriate action where necessary to address any underperformance or gaps.

* Maintain complete, up to date records supporting assessment and maintenance of competence, including ensuring SPSs and internal licences/testing are up to date and appropriate CPD is completed.

* Accompany advisers in client meetings where appropriate, with clear objectives set and feedback provided specific to the adviser's competence.

* Report regularly to senior management on the competence of advisers including escalating any material issues or breaches in a timely fashion.

* Deliver regular feedback to management on the performance of individual advisers and any emerging issues.

This Role Description forms part of the contract of employment

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