Training and Competence Manager

2 weeks ago


StratforduponAvon, Warwickshire, United Kingdom Clayton Davies Ltd Full time
Job 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 management services to our clients.

The role will involve:

  • Compliance Monitoring: Reviewing third-party audit reports and analyzing the findings to ensure that our compliance procedures are effective.
  • Training and Development: Implementing a plan to address any failings identified and overseeing the required actions to ensure that our financial planners are meeting their goals.
  • Compliance Reporting: Collating and reporting compliance-focused metrics for our executive team, including presenting such metrics to the board or committees as required.
  • Risk Management: Supporting the Compliance Director in reviewing and updating our risk registers across the business.
  • Due Diligence: Commenting on third-party due diligence reports from a compliance and risk perspective.
  • Complaint Handling: Investigating and responding to complaints, including performing root-cause analysis.
  • Quality Assurance: Undertaking quality file checking and delivering regular KPIs to our financial planners.
  • Technical Guidance: Supporting our financial planners with technical and compliance guidance.

Key Requirements:

  • RQF level 4 Diploma in Regulated Financial Planning (or equivalent).
  • A 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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