Senior Training & Competence Supervisor

• Position: Senior Training & Competence Supervisor
• Type: Hybrid - Mix of WFH & Southampton Office
• Salary: £35,000 - £40,000
• Working Hours: Permanent Full-Time, 9am - 5:30pm

The individual will support the management of the application and development of
the Training and Competence (T&C) scheme and is responsible for overseeing &
performing 1st line of defence activities for T&C Supervisors and Advisers working
under the John Charcol T&C Scheme, including oversight of the firm’s Appointed
Representatives (ARs) in line with the FCA’s Enhanced AR Regime.

Measures of Performance

• Timely and accurate completion of T&C scheme requirements
• Timely identification and resolution of risks and issues
• Timely and accurate record keeping of the T&C scheme
• Timely and accurate AR oversight audits
• Management of the AR oversight calendar, including identification of compliance resource gaps to deliver this
• Positive feedback on interpersonal skills from peers and advisers
• High level of attention to detail

Key Accountabilities

• To maintain and embed the T&C scheme, taking responsibility for ensuring that all aspects of the scheme are adhered to.
• Conduct file reviews and observations across all product areas, determining the suitability of the advice given, providing constructive feedback and highlighting areas for development
• Oversee the training and competence of the firm’s ARs, ensuring adherence to the FCA’s enhanced AR Regime
• Maintain and update the AR Oversight Policy
• Identify risks associated with AR oversight and flag these to the Compliance Manager
• Assist with the compliance elements of AR onboarding and initial risk assessments when required
• To act as the referral point for advisers on complex files or sensitive issues
• To identify common trends, themes, and risks across the business in terms of development areas or knowledge gaps through rout cause analysis
• To develop, facilitate and deliver T&C training for advisers
• Develop strong working relationships with relevant stakeholders across the business and any relevant third parties
• Responsible for continuously proactively identifying opportunities to develop the application of the T&C scheme including annual policy reviews and policy updates
• Consistently demonstrate good Conduct Risk behaviours by placing the customer’s best interest at the heart of everything you do and recommend improvements where possible
• Contribute through actions and behaviour to ensure the culture of the whole company reflects this
• Carry out any other duty related to T&C as may reasonably be required
• Provide support to T&C supervisors and deliver training within the team
• Oversee all aspects of T&C for each adviser through weekly reviews of competency

Key Knowledge, Skills, Experience Required

Essential

• Minimum of 3 years’ experience within a regulated or financial services environment
• Minimum of 3 years’ experience within a T&C role
• Relevant industry qualifications e.g. CeMAP, J07
• Knowledge of the regulatory environment in the UK, and in particular FCA
• regulation
• Good IT skills in a range of relevant applications (Word, PowerPoint, Excel,
• Outlook)
• Strong interpersonal and relationship building skills

Desirable

• Relevant professional qualifications
• Competent Supervisor status held

Key Competencies

• Strong at planning and organising with an ability to work to challenging deadlines
• Ability to challenge in a constructive manner
• Ability to work without supervision
• Ability to work collaboratively within a team
• High standard of attention to detail and record keeping
• Effective communicator with good written and oral communication skills
• Flexible and supportive approach to working practices

Travel

• This role requires occasional travel to London