Training & Competency Manager (Financial Planning)

This highly successful financial planning and discretionary investment management house is currently recruiting for an experienced, organised, and knowledgeable FLOD Compliance Manager to join their Financial Planning Leadership Team to build and deliver oversight of their Financial Advisers. The role will report to the Managing Director whilst working very closely with the Regional Directors, Financial Planning Training Manager, and Director of Wealth Operations to be a key contributor to this important distribution channel.

Key responsibilities:

• Working closely day-to-day with the retail leadership team, you will have a dotted line to the central Risk and Compliance function where you will maintain a clear line of communication sharing best practice and helping to deliver remedial action from thematic reviews, and reporting to the Chief Compliance Officer when requested.
• Scoping, building, and delivering a robust first line function and strategy.
• Supporting the structured handover of first line tasks currently with the Central Compliance function.
• Supporting the Financial Planning Leadership Team with key decisions on distribution strategies, so that the financial advice that is provided is the best in class.
• You will advise the FP Leadership Team on changes to the Advice framework, provide consultation to the Leadership Team with horizon scanning and consumer duty compliance, with forward-thinking compliance leadership.
• Closely supporting the production and development of our suitability reports.
• Processing and analysing MI on various data points that include Company approach to supporting vulnerable clients and our completion and evidencing of annual reviews.
• Reporting any breaches or conflicts of interest to the Chief Compliance Officer.
• Investigating any errors within the team where there is the potential for client harm, and writing to clients to ensure they are not affected financially.
• Close monitoring and support to the pods with regards to the capturing of anti-money laundering identification and verification as well as dealing with politically exposed people.
• Maintaining the Advice Guide in respect of Compliance requirements and legislation change, so as to give guidance to the Advisers, Paraplanners, and Client Services.
• Assistance in the production of Consumer Duty MI for the Consumer Duty Champion.

Background and Experience:

• Essential that you will have had previous experience of working within a first line environment, preferably having established the team or been part of a growing team within compliance or training and competency that sat within the distribution centres of a financial services company.
• Degree educated and you must have an excellent understanding of financial planning/investment management and the needs and demands of clients that receive financial planning services.
• A sound working knowledge of the FCA Handbook, particularly on Financial Crime Prevention and Training and Competency.
• You must thrive on working independently and have a good manner with the advisor teams making sure that they understand that you are there to support them in their jobs and to help provide the best service for their clients and reduce risk.
• Excellent interpersonal, verbal, and written communication skills with strong attention to detail. Outstanding communication skills, able to communicate with departments across the business, at all levels.
• The ability to take ownership and responsibility for tasks and projects, working autonomously and collaborating as needed with key stakeholders.
• Proficient computer skills, Microsoft Office Suite (Word, PowerPoint, Outlook, SharePoint, and Excel).
• A willingness and flexibility to travel to office sites as required. If you are able to drive and have your own transport, that would be highly advantageous.
• Qualifications in Financial Services, either as an adviser or in Compliance, Risk, or Supervision.

Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted.

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