Training and Competence Consultant

08 Feb 2017
08 Mar 2017
Contract Type
Full Time

Our client is a well-respected financial services organisation looking for Training and Competence Consultant to deliver high quality regulatory support and guidance the company and protect the organisation from any regulatory censorship at all times

The role-

  • Assessing existing behaviour and practices against current Compliance and T & C standards as required by the company
  • Identifying any regulatory weakness, breaches or shortfalls within the firm and identify areas where the firm can improve their regulatory behaviour
  • Undertaking T & C supervision duties as required and reporting on any shortfalls or training needs identified
  • Building a strong business relationship with the firm to ensure adherence to Compliance and T & C standards at all times and promote best practice at every opportunity
  • Monitor completion of previously set remedial actions and agree any future actions to be taken to ensure compliance and T & C standards are met at all times
  • To quickly report any short comings identified and recommend appropriate actions, e.g. intensive support, suspension , additional training or other enhanced supervision as required
  • Assist adviser and firms to achieve their business objectives
  • Support the induction of new recruits through effective mentoring, presentations, and development activity as required

Key Requirements-

  • Qualified to Diploma Standard or QCA Level 4
  • Sound knowledge of UK regulatory framework
  • Previous experience of support file checking regimes