Training & Competency and Compliance Supervisor

2 weeks ago

Bristol, United Kingdom WTW Full time

Training & Competency and Compliance Supervisor
- Bristol, GB

November 21, 2023

To support our growing team, we are looking for an experienced T&C Supervisor, who can also lead our internal quality initiatives (our “Excellence” process), alongside supporting the Financial Planning and Defined Contribution (DC) Consulting teams with routine compliance matters, working closely with the compliance team.

WTW has a reputation for quality and integrity, and because of this, we are looking for someone who is technically excellent, is driven to ‘do the right thing’, but who also has a good understanding of our commercial landscape where the quality and strength of individual relationships can impact our bigger corporate relationships. In addition you will need to be able to effectively communicate regulatory and Excellence requirements to a growing team.

**The Role**
- Liaising with compliance on regulatory matters, assessing and advising on how changes impact the business (retail advice and DC consulting)
- With guidance from the compliance team, lead the implementing and monitoring of appropriate policies for compliance with FCA regulations
- Rolling out training to the team on compliance and Excellence (quality) matters
- Supporting the compliance team with any FCA interactions related to the Financial Planning team. Ensuring key risks and controls are appropriately identified and assessed, including reporting on risk related matters and monitoring KPIs e.g. persistency, client feedback, concentration of provider recommendations
- Ensuring relevant colleagues meet the requirements and follow the relevant process to become certified in the client dealing function under the SMCR regime, managing reminders to certified individuals about their ongoing responsibilities
- Acting as a complaint handler for regulated complaints and ensuring an appropriate number of complaint handlers are trained within the team
- Leading on Excellence (quality) matters for the team, cascading information to local champions and setting their objectives in respect of promoting adherence to WTW Excellence polices which include data security, use of disclaimers, new work policy etc.
- Co-ordinate regular and ad-hoc Excellence reviews and Internal Audits
- Controlling the sign-off of new regulated advisers
- Developing, updating and compliance monitoring of regulated advice processes
- Updating and signing off new client documentation (eg contracts) in conjunction with compliance as needed.
- Observing retail client meetings, owning the ongoing adviser testing and competency practices and training plans where needed

**The Requirements**:

- Level 4 Diploma Qualified (or close to being qualified)
- Experience in working within a compliance role within financial services previously. Ideally, within a Wealth Management / Financial Planning / IFA environment. Exposure to Defined Contribution Consulting would be helpful.
- Strong technical knowledge particularly around pensions and investments.
- Strong understanding of the FCA and an ability to stay on top of ever-changing regulations.

At WTW, we believe difference makes us stronger. We want our workforce to reflect the different and varied markets we operate in and to build a culture of inclusivity that makes colleagues feel welcome, valued and empowered to bring their whole selves to work every day. We are an equal opportunity employer committed to fostering an inclusive work environment throughout our organisation. We embrace all types of diversity

**Equal Opportunity Employer

  • Training and Competence Consultant

    1 week ago

    Bristol, United Kingdom Clayton Davies Full time

    Job Description Job Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the following Managing induction and supervision of new entrants ...

  • Training and Competence Consultant

    2 weeks ago

    Bristol, United Kingdom Clayton Davies Full time

    Job Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the following Managing induction and supervision of new entrants Deliver new entrant...

  • Training and Competence Consultant

    3 weeks ago

    Bristol, United Kingdom Clayton Davies Full time

    Job Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the following Managing induction and supervision of new entrants Deliver new entrant...

  • Training and Competence Consultant

    2 weeks ago

    Bristol, United Kingdom Clayton Davies Full time

    Job DescriptionJob Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the followingManaging induction and supervision of new entrantsDeliver new...

  • Training and Competence Consultant

    1 week ago

    Bristol, United Kingdom Clayton Davies Full time

    Job Description: Considering applying for this job Do not delay, scroll down and make your application as soon as possible to avoid missing out.A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role...

  • Training and Competence Consultant

    3 days ago

    Bristol, United Kingdom Clayton Davies Full time

    Job Description Job Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the following Managing induction and supervision of new entrants ...

  • Training and Competence Consultant

    3 weeks ago

    Bristol, United Kingdom Clayton Davies Full time

    Job Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the followingManaging induction and supervision of new entrantsDeliver new entrant...

  • Training and Competence Manager

    3 weeks ago

    Bristol (City Centre), United Kingdom Clayton Davies Ltd Full time

    Job Description: A highly respected Financial Advisory firm is looking for a T&C Manager to join the business. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the following; Managing induction and supervision of new entrantsDeliver new entrant training and other training...

  • Training and Competence Manager

    2 weeks ago

    Bristol (City Centre), United Kingdom Clayton Davies Ltd Full time

    Job Description: A highly respected Financial Advisory firm is looking for a T&C Manager to join the business. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the following;Managing induction and supervision of new entrantsDeliver new entrant training and other training...

  • Training and Competence Consultant

    2 weeks ago

    Greater Bristol Area, United Kingdom Clayton Davies Full time

    Job Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the followingManaging induction and supervision of new entrantsDeliver new entrant...

  • Training and Competence Consultant

    3 weeks ago

    Greater Bristol Area, United Kingdom Clayton Davies Full time

    Job Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the following Managing induction and supervision of new entrants Deliver new entrant...

  • Training and Competence Consultant

    3 weeks ago

    Greater Bristol Area, United Kingdom Clayton Davies Full time

    Job Description: A highly respected Financial Advisory firm is looking for a T&C Consultant to join the business based in the SOUTH WEST. You will support their Financial Advisers on all aspects of training and competency. The role will involve taking responsibility for the followingManaging induction and supervision of new entrantsDeliver new entrant...

  • Supervisor, Compliance

    1 month ago

    Bristol, Bristol, United Kingdom Crowe Full time

    Supervisor, Compliance - Bristol About Crowe Crowe is a leading national audit, tax, advisory, and risk firm with global reach and local expertise. We are an independent member of Crowe Global, one of the top 10 accounting networks in the world, with access to more than 40,000 people in more than 150 countries and across more than 700 offices globally. We...

  • Compliance Officer

    1 month ago

    Bristol, United Kingdom Lifetime Training Full time

    We are looking for an organised and proactive person to join our compliance team and be responsible for ensuring that all Lifetime Trainings funding claims are compliant in accordance with our internal Policies. You will achieve this by executing specific validation checks for various learner engagement points throughout the learner journey. This will...

  • Supervisor, Compliance

    1 month ago

    Bristol, United Kingdom Crowe Full time

    Supervisor, Compliance - Bristol About Crowe Crowe is a leading national audit, tax, advisory, and risk firm with global reach and local expertise. We are an independent member of Crowe Global, one of the top 10 accounting networks in the world, with access to more than 40,000 people in more than 150 countries and across more than 700 offices globally. We...

  • Supervisor, Compliance

    4 weeks ago

    Bristol, United Kingdom Crowe Full time

    Supervisor, Compliance - Bristol About Crowe Crowe is a leading national audit, tax, advisory, and risk firm with global reach and local expertise. We are an independent member of Crowe Global, one of the top 10 accounting networks in the world, with access to more than 40,000 people in more than 150 countries and across more than 700 offices...

  • Civils Supervisor

    1 month ago

    Bristol, United Kingdom Mitie Full time

    **_Join us and help deliver the exceptional, every day._** **Since 1987, Mitie's 68,000 employees have been maintaining companies globally. We are the UK's leading facilities management and professional services company, and our clients range from household names in banking, critical government sites as well as hospitals and schools.** **Join our Mitie...

  • Compliance Analyst

    2 weeks ago

    Bristol, United Kingdom Robert Half Full time

    Compliance Analyst - Wealth ManagementBristol Area (1-2 days a week in office) £35k - £45k DoEMinimum of 1-2 years experience within Compliance or as a ParalegalRole Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty requirements....

  • Compliance Analyst

    2 weeks ago

    Bristol, United Kingdom Robert Half Full time

    Compliance Analyst - Wealth Management Bristol Area (1-2 days a week in office) £35k - £45k DoE Minimum of 1-2 years experience within Compliance or as a Paralegal Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty...

  • Compliance Analyst

    2 weeks ago

    Bristol, United Kingdom Robert Half Full time

    Job DescriptionCompliance Analyst - Wealth ManagementBristol Area (1-2 days a week in office) £35k - £45k DoEMinimum of 1-2 years experience within Compliance or as a ParalegalRole Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty...