Training and Competency Manager
7 days ago
**Description of the Business Line or Department**
**Summary of the key purposes of the role**
- To provide the business with advice and guidance on all relevant T&C regulatory obligations and requirements both proactively and in response to queries and to identify, review and assess the impact of new legislation, regulation, guidance and rules.
- To assist the Senior Manager Function (SMF) holder accountable for T&C to ensure that the firm establishes and maintains all T&C policies and procedures, and effective internal control systems in order to manage and minimise risk, and to monitor all aspectsof the regime to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken.
**Summary of responsibilities**
- Responsibility for the firm's performance of its obligations under the employee certification regime
- Responsibility for monitoring the effective implementation of policies and procedures for the induction, training and professional development of persons performing Certified Persons/ Authorised Person/ Regulated Person roles
- Responsible for identifying and implementing technical and soft skills training requirements to support competence of the Certified Persons/ Authorised Person/ Regulated Person population
- Responsibility for reviewing the current Training and Competence scheme (T&C), making recommendations for improvement and implementation
- Responsibility for reviewing, analysing, and proposing revisions to MI relied upon by the SMF responsible for T&C
- Responsibility for reviewing and enhancing, where necessary, the new hires induction and competency assessment to strengthen them
- Responsibility for auditing Certified Persons/ Authorised Person/ Regulated persons, qualifications, SPS and CPD
- Managing and maintaining the FCA Directory of certified persons and assisting with the authorised persons registry filing with the regulators
- Annual report and sign-off of internal registers with the SMF accountable for T&C
- Develop maintain and adhere to a working training budget with updates to Senior Management
- Manage the training team in meeting their requirements and administration of training
- Oversight of the LMS Systems Knowledge Hub & MyLearning
- Manage the training needs analysis and oversee its planning, adherence to firm and regulatory requirements, delivery and reporting requirements
- Manage the policy and procedures relating to T&C
Competencies
- Manager competencies as defined by the SG Leadership model
- Can demonstrate experience in Compliance or a T&C role or other relevant role as determined by SG Hambros
- Financial Services experience with particular focus on retail customers
- Good understanding of UK regulation, in particular the T&C Sourcebook and MiFID 11
- Knowledge of local business, products and front office
- Good knowledge and understanding of control and reporting tools
- Ability to assess and analyse information
- Good written & communication skills
- Numeracy, drafting and record keeping
- Good knowledge of corporate governance policies and procedures
- Strong IT skills, in particular Advanced level in MS Excel and PowerPoint
- Project Management
- Team Spirit & collaboration
- Strong attention to detail and focus
- Openness and good communication at all levels of the business
- Strong Senior Stakeholder Management skills
- Planning and organising
- Good judgement skills and diligence
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