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Head of Training and Competence

  • Location

    Liverpool

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    Competitive Salary

  • Consultant:

    Michael Ayres

  • Email:

    mayres@merje.com

  • Job ref:

    MA/16849L

  • Published:

    10 days ago

Long standing and well known firm within the Investment / Wealth Management sector are looking to appoint a Head of Training & Competence.  The role holder will be responsible for the development[DA1]  and management of the Certification Regime and Training and Competence scheme, ensuring compliance with regulatory requirements.

Key Responsibilities:

  • Manage, enhance and regularly review the Training and Competence Scheme, policies and procedures within the Group with input from all relevant stakeholders
  • Lead the implementation of the T&C policies and procedures 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.
  • Develop plans for assessing competence and training for T&C staff
  • Train, support and review regulatory supervisors to ensure appropriate records are maintained (including QA review of records on the T&C system)
  • 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.
  • Manage, lead and develop a team of 3 – as well as taking on potential growth/hiring
  • Contribute to 1st Line of defence, Chief of Staff, HR and L&D projects and undertake any other ad hoc activities as required.

Key Requirements

  • Background within Wealth Management, Investment Management, Private Bank required
  • Demonstrable practical experience in managing Certification and Training and Competence schemes in a wealth management environment
  • Ex-front office or business risk background would be desirable
  • In-depth technical knowledge of current T&C regulatory requirements and SMCR
  • 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 fellow industry experts within T&C
  • Min L4 qualified in Wealth Management, investment or financial planning