T & C Supervision / Compliance Manager

Job Description

My Client are a well regarded IFA firm in Norwich with a strong local and regional presence who have significant growthplans over the net few years and as a result requirea competentT&C / Complianceprofessionalto join their businessand actas an integral part to the overall success of the firm. This roleis predominatelyoffice based with some field visits expectations and flexibilityto work at home.In return a competitive salary and package can be offered within a growing firm so a great time to join .Compliance and Training and Competency managerThe role is an overview role of both the daily running of the Compliance and Training and Competency department. There is support behind these departments who will be able to carry out specific individual tasks within, but the successful candidate wouldbe able to carry out the underlying tasks as well as have an overview feeding back into the Sales Manager, Directors and Compliance oversight.Training and competency overviewPolicies and procedures Understand and maintain knowledge of the regulatory environment and translate the requirements into practical and effective T&C policy and procedures Implement methods for monitoring and controlling T&C activities Oversee the keeping of accurate and comprehensive records of T&C activities both centrally and within the business areas Ensure all regular monitoring and reporting processes are completed accurately and on time. Provide senior management with the appropriate information to allow them to manage people riskSenior Managers & Certification Regime (SM&CR) Understand and maintain knowledge of the regulatory requirements related to the SM&CR and translate requirements into practical and effective SM&CR policy and procedures. Oversee the certification activities necessary for all certified persons and ensure that these are completed in an accurate and timely manner and that team members are appropriately certified for the activities that they carry outCompetence Understand and maintain knowledge of the regulatory requirements for competence, communicating them in a manner to ensure the business understands the requirementsTraining & Development Ensure training & development needs are appropriately identified. Implement practical and effective training solutions, measuring and reporting on the return on investment this will also involve putting together and carrying out training plans for new advisersCandidate Profile Proven T&C and/or SM&CR experience at manager level, ideally within a Compliance Function Experience of working in an FCA regulated financial planning environment Ability to develop effective working relationships at all levels across the Group and in particular with senior management Be Level 4 Diploma qualified andRegulatory Knowledge to ideally include: Conduct of Business rules: (CONC); (MCOB); (ICOB) FCA Principles for Business (PRIN) FCA TCF outcomes Senior Management Arrangements, Systems and Controls (SYSC) Training and Competence (T&C) Complaint Handling (DISP) Approved Persons regime (APER) Data Protection Act (DPA) Conduct Risk A good understanding of how risk based monitoring should be applied.