Training & Competence (T&C) Supervisor
1 day ago
Glasgow
ROLE AND RESPONSIBILITIES The T&C Supervisor is responsible for overseeing the Training and Competence (T&C) framework within the firm, ensuring that all advisers and staff meet the required standards of competence and compliance. This role is field based, reporting to the Head of Training and Competence, with travel as required. The primary focus will be on maintaining and enhancing the firm's T&C scheme to support good client outcomes. KEY REPSONSIBILITIES INCLUDE: • Monitoring Adviser Competence: Conduct regular assessments of advisers to ensure they meet the firm's competence standards and regulatory requirements., • Providing Training and Development: Develop and deliver training programs to enhance the skills and knowledge of advisers and staff, ensuring they remain up to date with industry changes and best practices., • Conducting Observations and Assessments: Perform observations and assessments of client interactions to ensure advisers are providing high-quality advice and adhering to compliance standards., • Maintaining Records: Keep detailed records of training, assessments, and competence levels for all advisers and staff, ensuring accuracy and compliance with regulatory requirements., • Providing Feedback and Coaching: Offer constructive feedback and coaching to advisers based on assessments and observations, helping them to improve their performance and client outcomes., • Updating T&C Policies: Regularly review and update the firm's T&C policies and procedures to reflect changes in regulations and industry best practices., • Collaborating with Compliance Teams: Work closely with compliance and legal teams to address any regulatory concerns and implement necessary changes to the T&C framework., • Reporting to Management: Prepare and present reports to senior management on the status of the T&C scheme, including any significant issues or areas for improvement., • Staying Informed: Keep up to date with changes in financial regulations and industry best practices to ensure ongoing compliance., • Supporting Audits: Assist in internal and external audits by providing necessary documentation and explanations related to the T&C scheme. The T&C Supervisor occupies an important position within the firm and must be highly conscientious and responsible. They will play a key role in ensuring that all advisers and staff are competent and compliant, reflecting the firm's commitment to high-quality advice and good client outcomes. They will also be required to identify and remedy issues arising with the T&C processes. It is expected that the T&C Supervisor will work independently to maintain a high-quality T&C framework. The T&C Supervisor must be able to work efficiently within a growing Compliance team focused on meeting the business needs of the wider Group and the clients it serves. QUALIFICATIONS AND EDUCATION REQUIREMENTS • Level 4 Financial Advice qualification and Mortgage Advice qualifications are essential., • Long Term Care and Lifetime Mortgage qualifications are desired., • Experience in training and competence supervision within financial services is required., • It is expected that the T&C Supervisor will currently be, or will be willing to work towards, a Level 6 financial advice qualification. PREFERRED SKILLS & EXPERIENCE • Strong understanding of T&C frameworks and regulatory requirements, • Excellent training and coaching abilities, • Effective at conducting assessments and providing constructive feedback, • Detail-oriented with strong record-keeping skills, • Excellent verbal and written communication skills, • Ability to build positive relationships with advisers and staff, • Proactive in identifying and addressing compliance issues, • Good at analysing data and identifying trends, • Efficient in managing projects and meeting deadlines, • Experience with FCA Connect and making FCA permissions applications, • Conversant with the Senior Managers and Certification Regime (SM&CR), • Knowledge of fitness and propriety requirements BENEFITS PACKAGE: • Pension: Following three months of employment, if eligible, the Company will auto-enrol the employee into a pension scheme, in accordance with its pensions auto-enrolment obligations., • Life assurance: Following six months employment or on earlier completion of the employee’s probationary period at 4 x basic salary, • Income protection: Following six months employment or on earlier completion of the employee’s probationary period at 65% of basic salary (6-month deferment), • Critical illness cover: Following six months employment or on earlier completion of the employee’s probationary period at 2 x basic salary, • Private Medical Insurance: Following six months employment or on earlier completion of the employee’s probationary period currently with £100 excess payable. Cover does not include any pre-existing conditions and related illnesses, • Holidays: 25 working days paid holiday in each year,, • Bank holidays: 10 days paid holiday (rather than the official 8.), • Birthday Leave Day: An additional day of paid annual leave.