Training and Competence Specialist
2 days ago
Clayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team. As a key member of our Compliance department, you will play a vital role in ensuring our financial planners are equipped with the necessary skills and knowledge to provide top-quality advice and services to our clients.
Key Responsibilities:- Review and analyse third-party audit reports, identifying areas for improvement and implementing corrective actions in line with Compliance procedures.
- Collaborate with the Compliance Director to develop and implement a plan to address any regulatory failings, overseeing the required actions and tracking their impact.
- Assist with the development and maintenance of our Compliance Monitoring Plan.
- Provide compliance-focused MI to the executive team, presenting findings and recommendations as needed.
- Support the Compliance Director in reviewing and updating our policies and procedures from a Compliance and Risk management perspective.
- Contribute to the review and updating of our risk registers across the business.
- Provide Compliance and Risk commentary on third-party due diligence reports for potential wealth manager/IFA acquisitions.
- Investigate and respond to complaints, performing root-cause analysis and tracking progress.
- Manage the root-cause analysis process, assessing the success of mitigating actions.
- Advocate for Consumer Duty within the business.
- Support Financial Planners with Technical and Compliance guidance.
- Undertake quality file checking as required.
- Deliver regular KPIs to Financial Planners and assist with any deficiencies.
- Undertake observations and role plays for experienced and trainee Financial Planners.
- Maintain exceptional Compliance record keeping.
- RQF level 4 Diploma in Regulated Financial Planning (or equivalent).
- Strong understanding of the regulatory environment and regulatory expectations in terms of advice standards and record keeping.
- Experience in operating in a T&C Manager position within the wealth management industry.
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Training and Competence Specialist
2 days ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Title: Training and Competence ManagerCompany: Clayton Davies LtdJob Summary:We are seeking an experienced Training and Competence Manager to join our team at Clayton Davies Ltd. As a key member of our compliance and risk management team, you will be responsible for ensuring that our financial services operations are in line with regulatory requirements...
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Training and Competence Specialist
2 days ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Title: Training and Competence ManagerCompany: Clayton Davies LtdJob Summary:We are seeking an experienced Training and Competence Manager to join our team at Clayton Davies Ltd. As a key member of our compliance and risk management team, you will be responsible for ensuring that our financial services operations are in line with regulatory requirements...
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Training and Competence Specialist
6 days ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Title: Training and Competence ManagerClayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team. As a key member of our Compliance department, you will play a vital role in ensuring our financial planners are equipped with the necessary skills and knowledge to provide top-quality advice and services to our clients.Key...
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Training and Competence Specialist
6 days ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Title: Training and Competence ManagerClayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team. As a key member of our Compliance department, you will play a vital role in ensuring our financial planners are equipped with the necessary skills and knowledge to provide top-quality advice and services to our clients.Key...
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Training and Competence Specialist
5 days ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Title: Training and Competence ManagerClayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team. As a key member of our Compliance department, you will play a vital role in ensuring our financial planners are equipped with the necessary skills and knowledge to provide top-quality advice and services to our clients.Key...
-
Training and Competence Specialist
5 days ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Title: Training and Competence ManagerClayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team. As a key member of our Compliance department, you will play a vital role in ensuring our financial planners are equipped with the necessary skills and knowledge to provide top-quality advice and services to our clients.Key...
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Training and Competence Specialist
1 week ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Title: Training and Competence ManagerClayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team. As a key member of our Compliance department, you will play a vital role in ensuring our financial planners are equipped with the necessary skills and knowledge to provide top-quality advice and services to our clients.Key...
-
Training and Competence Specialist
1 week ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Title: Training and Competence ManagerClayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team. As a key member of our Compliance department, you will play a vital role in ensuring our financial planners are equipped with the necessary skills and knowledge to provide top-quality advice and services to our clients.Key...
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Training and Competence Manager
2 weeks ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Description:Clayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team in the wealth management industry. As a key member of our compliance team, you will be responsible for ensuring that our financial planners are equipped with the necessary skills and knowledge to provide top-quality financial advice and wealth...
-
Training and Competence Manager
2 weeks ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Description:Clayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team in the wealth management industry. As a key member of our compliance team, you will be responsible for ensuring that our financial planners are equipped with the necessary skills and knowledge to provide top-quality financial advice and wealth...
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Training and Competence Manager
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Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Description:Clayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team in the wealth management industry. As a key member of our compliance team, you will be responsible for ensuring that our financial planners are equipped with the necessary skills and knowledge to provide top-quality financial advice and wealth...
-
Training and Competence Manager
3 weeks ago
Stratford-upon-Avon, Warwickshire, United Kingdom Clayton Davies Ltd Full timeJob Description:Clayton Davies Ltd is seeking an experienced Training and Competence Manager to join our team in the wealth management industry. As a key member of our compliance team, you will be responsible for ensuring that our financial planners are equipped with the necessary skills and knowledge to provide top-quality financial advice and wealth...
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