T&C - Training & Competency Supervisor at Arbuthnot Latham

Job Purpose

• To be responsible for the ongoing supervision of regulated advisers and accountable for the implementation of the T&C policy within the Private Banking, Investment Management and Wealth Planning areas. This shall include identifying the suitability of advice given, delivering training, assessing, and maintaining the competence of regulated advisers through:
  • liaising with the Business Quality Mangers to obtain file review feedback
  • conducting client observations and role plays
  • regular stakeholder engagement; and
  • the analysis of Key Performance Indicators (KPIs)
• To contribute to the administration of a fit for purpose T&C scheme across the Bank covering all regulated activity, creating strong working relationships across all key stakeholders ensuring all colleagues understand their accountabilities.
• There should also be a strong focus on coaching and developing advisers, including but not limited to advice quality and delivery, soft skills and procedural adherence.
• To act as an escalation point for complex or sensitive issues relating to the either thematic trends, the competence or conduct of those individuals under their supervision
• To place the interests of customers at the centre of all activities, act in a way that is consistent with achieving good outcomes for consumers; and to comply with the FCA and PRA's Conduct Rules. 

Key Responsibilities: 

• Ensure that advisors attain and maintain competency, identify conduct risks and deliver training where appropriate.
• Uphold all T&C, regulatory and compliance policies and procedures to mitigate risks and ensure that the Bank is fully protected.
• Liaise with key stakeholders such as Human Resources / Onboarding Team, Wealth Management, Regulated Mortgage Team, Compliance and the Accredited Bodies where necessary.
• Support new joiners and those on a path towards adviser roles by creating appropriate development plans and coaching this cohort to competent status and best practice.
• Review the documentation prepared to support sign off for the individual to competent status.
• Carry out monthly, quarterly and year-end reviews of activity to maintain and demonstrate adviser competence.
• Liaise with advisers when applying for an initial or renewal Statement of Professional Standing.
• To recognise that treating customers fairly and maintaining a strong conduct risk culture is at the heart of how we conduct our business.
• Maintain appropriate levels of technical knowledge across Investment Management, Wealth Planning and Regulated Lending.
• Be familiar with all relevant processes, procedures and schemes and recommend improvements where appropriate to ensure they remain fit for purpose.
• Produce, maintain and communicate appropriate Management Information to key stakeholders.
• To escalate non-compliance or competence issues to the Technical Director
• To coach advisers beyond competence towards best practice.This should, where appropriate, include support staff such as Paraplanners and WMAs who are integral to the delivery of advice within the regulated businesses.

Compliance/Risk:

• Complete required benchmark qualifications, adhering to both legal and regulatory requirements.
• To develop own professional expertise through on the job training, formal training and, where appropriate, professional qualifications.
• Responsible for managing risks inherent to the role by diligently observing internal policies and procedures.

Key Interfaces:

Maintain excellent relationships with Regulated Lending, Investment Management, Wealth Planning, Compliance, Private Banking and all key stakeholders across the Bank as well as externally.

 Person Specification

Knowledge/Experience/Skills:

• Demonstrable prior experience within the financial services industry, and the provision of regulated advice
• Must be able to demonstrate a clear understanding of the operational requirements and framework of a T&C scheme.
• Understanding and knowledge of COBS, ICOBS and MCOB.
• Able to establish and develop effective working relationships both internally and externally.
• Able to work efficiently in a self-directed manner, without direct supervision: demonstrate the ability to plan and organise workload effectively to meet business timescales.
• Experience of coaching to improve performance of front-line advisers
• A proven track record of training within a professional services or financial services environment.

Skills

• IT literate, with a good knowledge of Microsoft office.
• Demonstrate an effective approach to multi-tasking.
• Ability to work under pressure.
• Contribute to a positive and supportive team culture.
• Proactive approach to the role looking for new and innovative ways to deliver value.
• Strong stakeholder management, prioritisation and organisational skills.
• Ability to analyse complex data and demonstrate good judgement on subjective matters.

Communication Skills

• Strong written and verbal communications skills, report writing, and a clear presentation style are essential for this role.

Personal Attributes

• Demonstrate excellent time management, self-planning and organisational skills. 
• The ability to communicate effectively and confidently, ensuring that all written correspondence is grammatically correct and that all conversations can be tailored to the level of the client. 
• Have a positive outlook, be client focused and self-motivated, and be driven to deliver a world-class service to clients.
• Enjoy working in a team environment.

Qualifications:

• Must hold RDR Level 4 qualification (a level 6 qualification is desirable).
• Should hold or achieve within 2 years of starting the role a level 4 qualification in Supervision such as J07

Competencies:

• Team Working
• Working proactively
• Influencing others
• Service and excellence
• Planning and reviewing
• Communication and confidence