Job Information

Training and Competency Specialist – Compliance Working closely with the Senior Management Team to help Financial Planners maintain and build on their competency within the companies Proposition and regulatory environment under a risk based targeted support model.

Main Duties and Responsibilities

· Carry out client meeting assessments as required under the risk-based Training and Competence scheme.

· Undertake appropriate case reviews to assess risks and training needs to help Planners to maintain competency.

· Work alongside the Head of Risk and Compliance and the Business Development Director to help develop the skills and understanding of Financial Planners where gaps are identified.

 · Provide one-on-one or group training with Financial Planners where support is required in relation to competency, organisational skills, and file quality.

· Manage processes with regards to fee structures and build an exceptions-based process; · Reporting of linked risk events and resolution of training needs.

· Keep Head of Risk and Compliance updated on progress of any ongoing risk issues.

Person Specification:

· Ability to work and perform with a level head in a pressured role.

 · Possess client experience focused perspective within the requirements of a regulatory environment.

· Be professional, reliable and trustworthy; · Possess a strong understanding of financial planning and underlying financial advice products and processes, as well as client confidentiality.

Qualifications and experience required:

· Financial Planning and/or Investment Management qualifications to at least Level 4 or equivalent

· Significant practical T&C experience within the financial services sector.

· Understanding of risk and compliance in financial services and/or wealth management