Training & Competence Compliance Manager

  • Location:

    London, England

  • Sector:


  • Job type:


  • Salary:

    £55000 - £75000 per annum

  • Contact:

    Lauren Ashwood

  • Job ref:


  • Published:

    4 months ago

  • Expiry date:


  • Start date:


A well established Asset Manager are seeking a Training & Competence Compliance Manager to join their team.

The regional team provides Compliance support within a designated region of the advisory business, predominantly in respect of the regulatory T&C Supervision monitoring and compliance support. The ideal candidate will be responsible to maintain and monitor Compliance/Regulation wherever appropriate in respect of the internal business to ensure FCA Regulatory requirements are being met within the business.


  • Demonstrate adherence to Training & Competence scheme (incl. Induction Courses for Practice staff)
  • Support the Central Compliance monitoring plan
  • Prepare for regulatory change by identifying potential effects and support the business in the development and implementation of compliant solutions
  • Develop a solid working knowledge of all FCA regulated product ranges, FCA Principles and Rules
  • Audit the maintenance, of Advice Management and Adviser T&C records as required
  • Mitigating risk by highlighting potential Compliance, T&C and FCA breaches to senior management as appropriate


  • Diploma status level 4 in Financial Planning or minimum of FPC or CFP equivalent and working towards diploma level
  • Good working knowledge of FCA Principles and Rules
  • Demonstrable experience of T&C regime and implementation

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