Director, Regulatory
1 day ago
Job Title: Compliance Manager Location: Leeds LS12 4PT with Visits to other business offices as required
Salary: £40,000 to £45,000
Job Summary
We are seeking a skilled and detail-oriented Competence and Training Manager to oversee the training and competence framework of our organization, ensuring full compliance with the Financial Conduct Authority (FCA) regulations. The successful candidate will be responsible for developing, implementing, and maintaining robust training and competence systems to support our team and business in meeting regulatory requirements and achieving excellence.
Key Responsibilities
Regulatory Compliance and Framework Implementation
Develop and manage the organization’s training and competence (T&C) framework in line with FCA regulations.
Ensure compliance with all aspects of the FCA’s Training and Competence Sourcebook, including identifying regulatory requirements for staff competency.
Conduct regular reviews of the T&C framework, policies, and procedures to ensure ongoing compliance with regulatory updates.
Competence Assessment and Development
Design and implement processes for assessing the initial and ongoing competence of employees performing regulated activities.
Monitor and evaluate individual and team performance, identifying areas for improvement and recommending training solutions.
Oversee the maintenance of accurate and up-to-date competence records, ensuring they meet FCA requirements.
Training Program Development
Develop tailored training programs to address regulatory requirements, technical skills, and professional development needs.
Collaborate with department heads to identify skill gaps and deliver training solutions that support business objectives.
Ensure training materials and programs are regularly updated to reflect regulatory changes and industry best practices.
Reporting and Auditing
Prepare regular reports on training activities, staff competence, and compliance metrics for senior management and regulatory bodies.
Lead internal audits of the T&C framework and collaborate with external auditors as needed.
Proactively identify and address compliance risks related to staff training and competence.
Leadership and Collaboration
Act as the subject matter expert on FCA training and competence requirements within the organization.
Provide guidance and support to managers and team leaders on embedding T&C practices in their departments.
Foster a culture of continuous learning and regulatory excellence across the organization.
Key Skills and Experience
In-depth knowledge of the FCA’s Training and Competence Sourcebook and relevant regulations.
Proven experience in managing training and competence frameworks within a regulated financial services environment.
Strong leadership and communication skills, with the ability to influence at all levels.
Exceptional organisational skills, with a strong attention to detail and the ability to manage multiple priorities.
Proficiency in using learning management systems (LMS) and other training tools.
Relevant professional qualifications (e.g., CIPD, ICA Diploma, or similar) are highly desirable.
Key Attributes
Analytical thinker with a proactive approach to problem-solving.
Commitment to maintaining the highest standards of compliance and professional integrity.
Passion for developing people and fostering a high-performance culture.
This role provides an exciting opportunity to play a critical part in ensuring the organisation's compliance with FCA regulations while supporting professional development and operational excellence.
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