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Compliance and Training Manager
2 months ago
Birchlake Recruitment is seeking a highly skilled Training & Competency Supervisor to join our team. As a key member of our organization, you will play a crucial role in ensuring the firm's compliance with regulatory requirements and industry standards.
Key Responsibilities- Facilitate and deliver the firm's Training & Competency (T&C) requirements as defined by the Financial Conduct Authority (FCA) and the business.
- Provide effective monitoring and control in the firm and to support the adherence of advisers and line management, whilst reporting shortcomings through the appropriate reporting lines.
- Develop and implement bespoke induction plans for new recruits, taking into account their qualifications, expertise, and previous experience.
- Collate and provide accurate and meaningful data relating to adviser RAG status, with detailed breakdown of rationale, to sales management.
- Supervise all amber and red advisers to ensure the business meets its requirements as set out in the T&C manual and adheres to T&C rules.
- Carry out desk-based supervision of green advisers, liaising with sales management and QA team as necessary regarding coaching and development.
- Up-to-date knowledge of various rule books, particularly T&C, regulations, and codes relevant to the firm.
- Good working knowledge of IO and application of extraction of MI required to ascertain KPI data, MI reporting on all advisers.
- Understanding of industry developments and the impact on the business.
- IT literate, including all Microsoft Packages.
- Good interpersonal relationship skills.
- Positive team working and collaboration.
- Well-organized, readily able to work to agreed, sometimes challenging deadlines.
- Influencing – able to report to other business areas and members and where necessary influence behavior and attitudes to improve compliance and business practices.
- Flexibility / adaptability – able to adapt to changes in the business and its practices and regulatory / legal amendments.
- Drive own development – highly motivated to achieve work tasks and to assist with the management of their own development – knowledge and skills improvement.
- Attention to detail – able to produce accurate and meaningful data required for RAG reporting and other MI as required by Risk & Compliance Director.
- Minimum of 6 years' experience within a regulated or financial services environment, particularly in a training and competency environment.
- Relevant industry qualifications, at least to QCA Level 4 or equivalent, and including H15/J07.
- CeMAP, G60/AF3 are desirable.
