Training & Compliance Manager

Type of Position:
Training & Compliance Manager - Birmingham
Pay: £35k - £45k

Due to our clients continued expansion, they are looking to take on a new Training & Compliance Manager to join their team based in Birmingham. You will have the ability to own, manage and drive forward their plans, delivering training and ensuring competency for new starters aligned to company, industry and regulatory standards.

This will be a hybrid working role based in Birmingham.

Key Responsibilities:

- Full oversight of the Training & Competence
- Ongoing development and improvement of a clear and comprehensive T&C scheme which is appropriately personalised to the needs of the business and evidences the competency of relevant individuals.
- Ensure that everyone connected to the firm’s regulated business has the skills, knowledge, and expertise to carry out their role appropriately (including non-advisory employees).
- Develop clearly defined criteria and procedures, setting out the specific point when someone will be assessed as being competent.
- Ensure that the T&C Scheme can be adapted to respond to changes in regulation or updates to the firm’s business model or service proposition.
- Develop measurable and meaningful KPI’s which reflect the needs of the business and allow for measurement of potential risk to the business.
- Maintain appropriate records to evidence compliance with the FCA’s Training and Competency requirements. Documenting the all aspects, from the recruitment of individuals, induction and initial training, through to attaining and maintaining competency.
Ensure that the MI generated from the activities is being considered and any risks identified are being dealt with.
- Provide guidance and advice on regulatory matters across the business.
- Interpret regulatory requirements and implement practical, compliant solutions
- Provide advice and guidance on all aspects of T&C including, file reviews, Consumer Duty gap analysis and implementation, financial promotion approval, recruitment guidance and implementation of T&C scheme.
- Ensure annual Fit & Proper assessments/ certification and code of conduct training records are robust and up to date
- Creation and maintenance of T&C policies and ongoing management of resources
- Oversight of the monitoring of client file reviews to ensure regulatory requirements are being met.
- Oversee delivery of regulatory training to all team members e.g. AML and GDPR

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