Training and Competence Manager

THE COMPANY: Our client is a successful UK-based wealth management firm, focused on providing top-quality wealth management services to retail and professional clients. THE RESPONSIBILITIES: Adviser Supervision Provide ongoing assessment of adviser competence in line with the Training & Competence requirements, typically twice per year, and ensure that the level and frequency of supervision touch points reflect the level of risk identified Taking responsibility for the delivery and oversight of the T&C Scheme, providing first-line assurance for people development and regulated activities. Conduct one-to-one meetings with advisers in accordance with the adviser s risk profile. Agree, record and progress development plans with advisers. Oversee and conduct role plays and observations, ensuring competence in all areas, determining the suitability of the advice given and highlighting areas for development. Review and address any issues around CPD activity and record keeping with the relevant individual. Ensure advisers have a valid Statement of Professional Standing in place. Maintain appropriate records in relation to T&C supervision. Monitor and encourage adviser completion of suitability assessments, mandates and periodic portfolio reviews, reporting to the Compliance team where an issue has been identified. Maintaining and continually developing your skills and knowledge of financial services and regulations to ensure that changing needs of retail customers are met within the Consumer Duty framework. Providing clear, timely, and constructive feedback of assessments and risks and proposing areas of deep-dive focus, based on data and MI produced in your role to the Compliance team. Liaise with the Compliance team to ensure effective communication of training and competence across the business. Identify learning gaps and design training, recovery and improvement plans as appropriate. Vulnerable client champion Assist on operational or compliance projects as required EXPERIENCE REQUIRED: Must have Training and Competency & Consumer Duty experience Level 4 Diploma in CISI preferred Qualified T&C Manager with a minimum of 3 years in a similar role Technical knowledge relating to the wealth management industry For further information please contact Spencer Evans