ABOUT US
AAB Wealth is one of the leading independent financial planning firms in the UK. Our mission is to provide our clients with tailored financial planning to help them achieve the best from life.
Our values are:
Nothing is more important than our people
Clients are our passion
Collaboration is our superpower
We respect and trust each other
We are active members of our local and global community
We have an ethos of positivity, enthusiasm and fun.
JOB PURPOSE
AAB Wealth is in an exciting growth phase, both organically and through acquisitions. The training, development and coaching role will support our growing team of Financial Planners. As a member of the Risk & Compliance team, you will ensure that AAB Wealth is meeting its regulatory obligations, by creating strategies, policies and delivering training plans, in line with FCA regulations. This is a key role in supporting the AAB Wealth Financial Planners and Team to provide positive, consistent and suitable outcomes for clients.
KEY RESPONSIBILITIES
Implement and maintain the firm's Training & Competence (T&C) scheme, ensuring Financial Planners at AAB Wealth remain compliant, and aligned with the firm's culture of fair consumer outcomes and treatment of clients.
Ensure the framework supports the firm's business objectives and regulatory obligations.
Implement procedures for initial and ongoing competence assessments.
Assess the ongoing competency of Financial Planners, measuring key performance indicators, including knowledge, skills and ethical behaviour.
Develop and deliver effective training and development programs on key regulatory and non-regulatory areas. Address any additional training needs identified, and provide coaching and support.
Maintain accurate records of T&C assessments and supervision, in line with FCA requirements.
Prepare and present reports on T&C activities, highlighting areas of concern, along with recommended actions.
Present practical solutions and recommendations for enhancing the services we provide to clients, with due regard for risk.
Maintain knowledge through continued professional development, keeping abreast of any regulatory changes.
PERSON SPECIFICATION
Qualifications
CII Diploma in Regulated Financial Planning (or level 4 equivalent) as a minimum. CII unit J07 - Supervision in a Regulated Environment, or equivalent preferred.
Experience
Experience gained working in a training, development and coaching role within the regulated advice sector.
Knowledge
Solid understanding of the regulatory obligations of financial planning firms.
Strong understanding and awareness of the rules and regulations that govern the regulated advice sector.
A sound knowledge of financial planning, products and plans.
Skills & Qualities
Strong communicator.
Ability to deliver to deadlines and to work on a wide range of different projects at the same time.
Ability to identify, design and deliver effective training programs.
Ability to produce management information to inform business decisions.
Strong problem solving and decision-making skills.
An effective team player, willing to aid in the development of less experienced members of the team by sharing knowledge.
Ability to have the client at the heart of compliance decisions