Head of Training and Competence

City of London, England
£75000 - £85000 per annum
15 Jan 2019
21 Jan 2019
Alan Hewett
Contract Type
Full Time

A wealth management specialist based in the City of London are now looking for a Head of Training and Competence to join their L&D function. The role will be geographically based in London alongside other members of the team but the successful candidate will also manage two reports who are based in the north of England.

The purpose of the role is to create, implement and manage the Training and Competence/SMCR schemes for the business, ensuring compliance with regulatory requirements.

We are looking for candidates that have either Wealth Management or other Financial Services experience as well as excellent practical experience within the Training/L&D space who have a solid understanding of the competence/compliance/regulatory landscape needed for this type of business/role.


  • Create and regularly review the training and competence policies for all regulated employees within the group with input from all relevant stakeholders

  • Lead the implementation of the training and competence policies for regulated employees within the group

  • Lead the effective management of the T&C programme; in particular, ensuring new recruits and supervisors are aware of the responsibilities and requirements

  • Ensures that the SMCR regime is implemented across all business entities

  • Input relevant information to the FCA systems to ensure appropriate permissions and incident reporting - in conjunction with the HR and Compliance departments

  • Keep up to date with appropriate regulation and provide expert advice and guidance to senior management

  • Work with the HR Systems Analyst to ensure that the LMS system delivers appropriate T&C functionality

  • Trains, supports and reviews regulatory supervisors to ensure appropriate records are maintained

  • Lead and develop the working relationship with the Compliance team

  • Review and update all existing T&C materials on a regular basis to ensure that they reflect any changes in regulation and are maintaining industry best practice

  • Develop good working relationships with relevant professional bodies e.g. PIMFA, CISI, CII

  • Ensure that appropriate records are maintained in line with regulatory requirements

  • Manage two colleagues - face to face and remotely

  • Contribute to HR and L&D projects and undertake any other ad hoc activities as required

  • Maintain own personal development


  • Previous practical experience in managing training and competence schemes in a wealth management environment or similar (Financial Services)

  • Minimum of Level 4 qualified in wealth management, investment or financial planning

  • In depth technical knowledge of current T&C regulatory requirements / SMCR (either having implemented SMCR or currently working on an implementation plan)

  • Ability to lead and drive the T&C process using a pragmatic business focused approach with a strong focus on managing risk

  • An established network of industry experts within T&C

  • Confident and assertive personality with an ability to influence effectively at all levels in the business

  • Effective planning and time management skills

  • Ability to take initiative and manage a small team

  • Ability to prioritise and deliver to agreed timelines

  • Ability to successfully work in a team environment

  • Excellent interpersonal, oral and written communication skills

  • Attention to detail

  • Flexibility

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