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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in Training & Competence within Wealth Management, ensuring compliance with FCA requirements and enhancing adviser capabilities through effective coaching and development. Proficient in conducting assessments, monitoring compliance, and producing analytical reports to support continuous improvement in client outcomes.
Highest-signal resume keywords
Training & Competence ExpertiseFCA Requirements KnowledgeWealth Management UnderstandingCoaching & Development SkillsAnalytical & Reporting Capability
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Competence AssessmentsRegulatory ComplianceTraining MethodologiesQuality AssuranceFile ReviewsBehavioral AssessmentsKnowledge TestingDevelopment PlansCompetency StandardsReporting
Soft Skills
Stakeholder ManagementInfluencing Skills
Industry Keywords
Wealth ManagementFinancial PlanningInvestment ManagementConsumer Duty PrinciplesCertification RegimeAdviser CapabilityClient OutcomesContinuous ImprovementCompetency TrendsRisk Indicators
About the role
Key responsibilities & impact- Drive continuous improvement in advice quality by identifying best practice, enhancing adviser capability and supporting the consistent delivery of excellent client outcomes.
- Maintain and continuously enhance the firm's Training & Competence Scheme.
- Ensure ongoing compliance with regulatory requirements and industry best practice.
- Conduct regular reviews of T&C policies, procedures and competency standards.
- Recommend improvements to training and assessment methodologies.
- Oversee the assessment and sign-off of competent advisers and certified staff.
- Identify skills and knowledge gaps and implement development plans.
- Ensure appropriate supervision arrangements are in place for trainees and newly appointed advisers.
- Conduct competence assessments through file reviews, observation sessions, client meeting reviews, knowledge testing, and behavioral assessments.
- Monitor compliance with applicable certification and conduct requirements.
- Ensure all regulated individuals maintain required qualifications and professional standards.
- Oversee annual fitness and propriety assessments.
- Manage annual competence sign-off processes.
- Produce monthly and quarterly T&C reporting.
- Present competency trends and risk indicators to senior management committees.
- Monitor adviser competency status, CPD completion, file review scores, quality assurance outcomes, regulatory training completion, and competency exceptions.
Requirements
What you’ll need- Minimum 5 years' experience within the wealth management, financial planning, investment management or financial advice sector.
- Strong understanding of a Training & Competence role within Wealth Management.
- Excellent understanding of Wealth management and financial planning advice processes.
- FCA Training & Competence requirements.
- Consumer Duty principles.
- Certification Regime requirements.
- Strong coaching and development skills.
- Excellent analytical and reporting capability.
- Strong stakeholder management and influencing skills.
Benefits
Comp & perks- Comprehensive Employee Assistance Programme (EAP) and mental health first aid.
- Sports & Social teams promote physical wellbeing and social connection.
- Competitive remuneration package including salary, bonus, pension and additional benefits.
- Comprehensive range of professional and personal development opportunities.
- Inclusive, diverse and flexible workplace with hybrid working model.