Compliance Training & Competence Manager
Private Wealth | London
Are you an experienced Training & Competence professional looking to take a hands-on role within a growing Private Wealth business?
We are partnering with an established financial services organisation to recruit a Training &
Competence Manager to oversee the practical delivery and ongoing development of its Training &
Competence (T&C) framework.
This is an excellent opportunity for someone with a strong background in regulated financial advice to work closely with Advisers, Compliance and senior stakeholders, ensuring individuals maintain the knowledge, skills and behaviours required to deliver high-quality, suitable advice to clients.
The role will combine adviser assessment, training delivery, regulatory oversight and ongoing competence management, with a particular focus on supporting the Private Wealth adviser population.
Key Responsibilities
- Training & Competence Delivery: Support the day-to-day operation of the T&C framework, ensuring advisers and colleagues in regulated roles meet internal and regulatory competence requirements.
- Training & Development: Design, deliver and coordinate practical training programmes, tailoring content to the needs of advisers and colleagues across the business.
- Competence Assessments: Conduct regular assessments through client meeting observations, role plays, product and knowledge testing, file reviews and CPD assessments.
- Adviser Development: Provide constructive feedback and work directly with advisers and their managers to address knowledge gaps, suitability concerns and areas for improvement.
- Improvement Plans: Develop and manage Adviser Improvement Plans, setting clear objectives, timelines and appropriate support to improve performance and competence.
- Management Information: Maintain accurate T&C records and produce MI highlighting assessment outcomes, training completion, competence trends and emerging risks.
- SMCR & Certification: Support the annual certification process by reviewing competence evidence, identifying gaps and helping demonstrate that Certified Persons remain fit and proper.
- Stakeholder Engagement: Work closely with Private Wealth, Compliance, People and senior management to ensure the T&C framework remains effective, relevant and aligned with regulatory expectations.
- Regulatory Standards: Support the delivery of suitable investment advice, promoting good customer outcomes and alignment with FCA Consumer Duty requirements.
About You
We are keen to speak with candidates who have:
- Strong practical experience in Training & Competence within a regulated financial services environment.
- Experience assessing and supervising financial advisers, ideally within Private Wealth, Wealth Management or Financial Planning.
- A sound understanding of FCA regulatory requirements, SMCR, certification and ongoing adviser competence.
- Experience conducting adviser assessments, including client meeting observations, suitability and file reviews, knowledge testing and CPD reviews.
- The ability to identify competence gaps, deliver constructive feedback and implement effective improvement plans.
- Strong organisational and record-keeping skills, with experience maintaining T&C documentation and producing management information.
- Excellent communication and stakeholder management skills, with the confidence to challenge constructively and support adviser development.
Qualifications & Experience
- Level 4 CII or CISI qualification meeting RDR requirements.
- Appropriate experience and training to undertake regulated supervision.
- A supervision qualification would be advantageous but is not essential.
- Experience supporting wider financial planning needs, including mortgages and protection, would be beneficial but is not required.
- Eligibility to obtain the relevant professional standing required for regulated supervision.
Why Consider This Opportunity?
This is a hands-on position offering the opportunity to make a tangible impact on adviser capability, professional development and client outcomes. You will play a key role in embedding a consistent approach to competence across a Private Wealth business, working closely with advisers, managers and control functions.
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