Training & Competence Manager

City of London, England
£400 - £550 per day
20 Jul 2017
17 Aug 2017
Dominique Seal
Contract Type
Full Time

An Investment Management firm are currently looking to hire a Training and Competence Manager for a 6 month contract to support the firm in preparation for the Senior Managers Regime implementation.

You will be responsible for the training and competency framework, policy and for the supervision of all regulated staff within Asset Management and Financial Planning divisions. The role will ensure that the Training and Competence Scheme is communicated to all employees who undertake regulatory activities and work with managers to embed appropriate training and development to maintain ongoing competence in all areas.

Key Areas of Responsibility:

Work in partnership with stakeholders to implement and embed an appropriate culture that promotes an understanding and knowledge of regulation in Asset Management and Financial Planning ensuring adherence and compliance to the framework.

Work in partnership with the L&D Manager (within HR Function) to implement and embed the T&C Scheme in Asset Management and Financial Planning.

Work in partnership with the L&D and Resourcing teams to ensure all employees (including new staff) are aware of and comply with all requirements of their roles.

To act as an interface between the business, senior management and various support functions for training, competency and recruitment.

You will oversee all T&C supervision for regulated staff including financial planners and Investment Managers. This will involve collating file reviews, face to face feedback and observations. You will undertake ad hoc training including compliance and product areas, supervise all new staff in regulatory roles and ensure they are signed off as competent.

Increase knowledge and awareness and develop strategies that lead to improvements in competency.

Work with the L&D Manager to develop and provide accurate reporting of T&C MI and performance to the ExCom.

Provide continual oversight and feedback on successes and gaps. Proactively managing senior internal stakeholders.

Work in partnership and manage effective relationships with senior stakeholders in the business, Risk and Compliance. Attend the monthly Financial Planning and Asset Management meetings.

Oversee the day-to-day management, maintenance, adherence to and ownership of the T&C Scheme.

Work with the L&D Manager to ensure the CPD framework for Approved Persons and Senior Manager Regime is implemented as required.

Proactively identify improvements to the design, performance and reporting on the T&C Scheme.

Ensure that the management team is kept informed of all emerging risks and that they are apprised of progress in relation to the management of existing key risks.

Monitor and act on recommendations from Internal Audit and Compliance.

The ideal candidate will hold strong Learning and Development experience within Financial Services and a strong understanding of the FCA rules and regulations. In depth knowledge of UK financial planning legislation. Knowledge of UK regulatory bodies, legal requirements and accredited bodies. Experience and evidence of delivering improvements through T&C. A strong knowledge of current training practices and models. Experience of managing and implementing change. Experience of client facing service delivery.

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