Training & Compliance Manager
£40,000
Birmingham
Our Client, a privately owned firm who offer independent financial advice to both corporate and private clients, currently have an opportunity for a Training& Competence Manager to join their team. The Training & Competence Manager will be responsible for ensuring adherence to both the FCAs and internal Training and Competence regime, which requires firms to be able to demonstrate that relevant staff have the right qualities and competences to carry out their responsibilities appropriately.
Key Responsibilities:
1. Keep up to date with regulatory developments and maintain CPD records to evidence this.
2. Advise senior management in a timely manner of:
3. Regulatory issues.
4. Any regulatory changes.
5. Produce an annual T&C report for senior management.
6. Meet KPIs.
7. Ensure that the firm can respond in a timely basis to requests for information from the Regulator.
8. Comply at all times with the Compliance and Training and Competence procedures of the firm.
9. Comply at all times with re...