Training and Competence (T&C) Manager - 6 month FTC

Candidate Requirements:

• Experience of working in an IFA T&C / Compliance / Training environment, preferably in a supervisory role
• Good working knowledge of FCA handbook rules on COBS, SMCR and Training & Competence. Broad knowledge of the wider financial services industry, products and services
• Up to date life, pensions, investments, mortgage and generic product and taxation knowledge at the levels necessary to supervise advisers working in those areas
• Up to date knowledge of Training and Competency requirements and compliance practices as they apply to the adviser’s role
• Ability to help and train advisers with the initial acquisition of knowledge and development of relevant skills
• Ability to coach advisers so that their knowledge and skills can be applied in a variety of situations to help deliver suitable customer outcomes
• Ability to evaluate and assess adviser KPIs against set objective criteria, identify training requirements and write appropriate adviser development plans that help deliver the required standards
• Ability to demonstrate best practice in gathering KYC information, analysing this information to formulate suitable recommendations and present compliant recommendations face to face, over the telephone and/or in writing
• Good working knowledge of Word / Excel / Zoom / Teams
• Strong confident communicator (written and verbal)
• Good numerical skills
• Highly organised
• Good attention to detail
• Ability to work to strict deadlines
• Ability to work well in a team
• Disciplined in working remotely and managing time effectively
• Able to demonstrate the necessary levels of honesty, integrity and reputation

Role:

Are you an experienced T&C professional available immediately (or from March), to start a 6 month fixed term contract and residing within (or in close proximity to) East Anglia?
This is a remote requirement which will see you providing appropriate Training and supervision of advisers, to ensure that both sales and advice provided, meet legal, regulatory and quality requirements and consistently demonstrate that suitable customer outcomes have been achieved.
Responsibilities will include:-

· Acting as the T&C Manager to trainee and experienced advisers, at all times following Training and Competency Scheme procedures
· Undertake appropriate business reviews through risk assessed sampling of pre and post-sale files for competent and trainee advisers
· Undertake client meeting assessments
· Work with advisers and their managers to provide input and support in relation to the delivery of suitable customer outcomes, file quality and on-going Training and Competence requirements
· Coaching and developing advisers to meet regulatory and internal requirements to enable advisers to maintain and enhance their personal and professional reputation
· Support collation and analysis of key performance indicators and translation of this into a risk assessment
· Contribute to the maintenance of suitable Training and Competence records covering authorisation of advisers, CPD, on-going competence and F&P across all advice areas
· Responsible for the certification (and assessing the suitability, fitness and propriety) of relevant individuals as required under the SMCR regime and the reporting of adviser related COCON breaches
· Ensuring records are maintained to demonstrate that the T&C scheme is being delivered and to record and provide appropriate management information in accordance with reporting requirements
· To assist in the development of new compliance procedures and practices
· To maintain a good knowledge of current FCA initiatives, issues and concerns (specifically around the delivery of suitable customer outcomes) and be capable of applying this knowledge to the role of Supervisor
· To maintain a good working knowledge of developments in the compliance industry and how these might apply to and impact the Company
· Assisting in the recruitment of advisers and other agreed persons
· Liaising with our advisers and adviser firms, members of the risk function and SMT
· To manage local expense budgets in line with the risk function guidance

Qualifications:

QCF Level 4 qualification as a minimum, QCF Level 6 (or equivalent) desirable

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