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Financial Services



Type of Position: Training and Competency Specialist
Pay: £50k - £65k

Training and Competency Specialist

Our client is looking for a Training and Competency Specialist to join their team in London on a 12-month contract. The candidate will be working closely with the Senior Management Team to help Financial Planners maintain and build on their competency within the company and regulatory environment under a risk based targeted support model.

Main Duties and Responsibilities:

  • Carry out client meeting assessments as required under the risk-based Training and Competence scheme;
  • Undertake appropriate case reviews to assess risks and training needs to help Planners to maintain competency;
  • Work alongside the Head of Risk and Compliance and the Business Development Director to help develop the skills and understanding of Financial Planners where gaps are identified;
  • Provide one-on-one or group training with Financial Planners where support is required in relation to competency, organisational skills and file quality;
  • Collation, assignment and tracking of individual development plans;
  • Update training and competence records for Financial Planners to support collation of risk-based data and MI;
  • Build up and support the delivery of the wider Training and Competence scheme;
  • Building and maintaining business relationships with all relevant stakeholders and contributing to corporate projects and initiatives;
  • Manage processes with regards to fee structures and build an exceptions based process;
  • Reporting of linked risk events and resolution of training needs;
  • Keep Head of Risk and Compliance updated on progress of any ongoing risk issues;
  • Assist with the development of processes based on company policies and principles.

Person Specification:

The following are core skills and attributes essential to the role:

  • Ability to work and perform with a level head in a pressured role;
  • Possess client experience focused perspective within the requirements of a regulatory environment;
  • Possess strong communication (written and verbal), and interpersonal skills with an exemplary command of English language;
  • Be highly organised, with good attention to detail;
  • Ability to accurately and objectively assess and record factual information and to analyse and evaluate people;
    Be professional, reliable and trustworthy;
  • Possess a strong understanding of financial planning and underlying financial advice products and processes, as well as client confidentiality.

Qualifications and experience required:

  • Financial Planning and/or Investment Management qualifications to at least Level 4 or equivalent;
  • Significant practical T&C experience within the financial services sector;
  • Understanding of risk and compliance in financial services and/or wealth management


If you are interested in this role then please send your CV to 

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