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Head of Training and Competence

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Consultant:

    #

  • Email:

    ethomas@merje.com

  • Job ref:

    ET/16849

  • Published:

    3 months ago

Company Overview -  Our client is one of the UK's leading providers of investment management services for individuals, charities and professional advisers. Our client is well established, trusted over generations, and have grown to become one of the most reputable firms in their space in the UK, winning industry recognition for their investment capabilities.

Job Role-  Our client is looking for a Senior T&C Candidate who will be responsible for the Certification Regime and enhancing the current T&C framework

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