Training and Competence Specialist

1 day ago

StratforduponAvon, Warwickshire, United Kingdom Clayton Davies Ltd Full time
Job Title: Training and Competence Manager

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.
Requirements:
  • RQF level 4 Diploma in Regulated Financial Planning (or equivalent).
  • Strong understanding of the regulatory environment and regulatory expectations.
  • Experience in a T&C Manager position within the wealth management industry.

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