Kind Consultancy is working with a succesful, growing Wealth Management firm which is currently seeking a Training & Competence Supervisor to join them in a full-time, permanent role paying up to £45,000 with a hybrid work model requiring 2-3 in-office days per week in their Birmingham office.

The Training & Competence Supervisor will support the delivery of an effective Training & Compliance function, implementing and maintaining high standards, with key responsibilities including:

• Providing compliance guidance and training to relevant employees of the business
• Drafting and updating Training & Compliance policies and procedures
• Working closely with the Head of Compliance to support all business areas with compliance related issues
• Understanding complex management and regulatory information and translating it into easy to understand forms for key stakeholders
• Conducting regular internal reviews to ensure that compliance procedures are followed
• Ensuring 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)
• Developing clearly defined criteria and procedures, setting out the specific point when someone will be assessed as being competent.
• Measuring and reporting meaningful KPI’s which reflect the needs of the business and allow for measurement of potential risk to the business.
• Maintaining appropriate records to evidence compliance with the FCA’s Training and Competency requirements, documenting all aspects, from the recruitment of individuals, induction and initial training, through to attaining and maintaining competency.
• Ensuring all staff (including new staff) are aware of the firm’s complaints handling procedures.
• As instructed by the Head of Compliance, review any complaints against the firm and deal with them in accordance with the Regulator’s complaints handling rules

Our ideal candidate for the Training & Competence Supervisor role:

• Has a background in IFA or Mortgage related work
• Has significant experience of delivering training, preferably relating to compliance within Financial Services
• Has an in-depth understanding of current UK Financial Services regulations
• Holding a Level 4 Diploma in Regulated Financial Planning would be highly desirable

If you have the skills, qualifications, knowledge and experience we're looking for, you live in or can commute to Birmingham and you're interested in the Training & Competence Supervisor position, please apply with an updated CV today.