Training & Competence Supervisor

Job description

We are looking for a detail-oriented and proactive T&C Supervisor to join our supervision team. The Training and Competence (T&C) Supervisor is responsible for the day-to-day supervision of all certified role holders. In this role you will work closely with the front office and compliance teams to ensure clarity, compliance and consistency in client interactions. This includes implementing the Professional Standards Program (T&C Scheme) for EFG Private Bank UK (including EFG Harris Allday) and ensuring that certified role holders are appropriately supported, trained and assessed to maintain their ongoing competence to deliver advice and services.

Tasks

• Ongoing monitoring of Client Relationship Officer (CRO) Training and Competence Supervisor results to ensure compliance with business requirements and the T&C Scheme
• Ongoing completion and monitoring of relevant management information (MI). Management of CRO dashboards and risk scores to ensure that monitoring activities, KRIs and BRIs are constantly updated and monitored
• Implementing the procedures set out in the Training and Competence Scheme and supporting the implementation of appropriate corrective actions at EFG Private Bank UK
• Ensuring that relevant Retail Investment Advisers and Regulated Mortgage Arrangers and senior management are informed and updated on new requirements affecting the business
• Resolving deficiencies in T&C requirements and reporting to relevant committees on monitoring activities and identified issues
• Ensure that Statements of Professional Standing (SPS) and Continuing Professional Development (CPD) requirements are met and that networks have appropriate arrangements in place to meet competence requirements
• Assessment of Regulated Mortgage Arranger in accordance with the Training and Competence Scheme
• Management and maintenance of the implementation program for the company
• Development, implementation and maintenance of the training and development program for the certification regime
• Maintaining comprehensive records for each certified role holder's performance and risk metrics and documenting the prescribed steps of their development

Requirements

Required knowledge, skills and experience:

• In-depth knowledge, understanding and experience in:
• Financial services industry
• Investment strategies and markets
• Suitability tests for regulated products
• Excel spreadsheet and Word document creation
• Effective feedback
• Reporting

Qualifications:

• Min. Level 4 Investment Advice Diploma or higher, equivalent
• The role requires skill and sensitivity in communicating issues which may be difficult from time to time and which may also have an impact on the income and workload of certified role holders
• Responsibility for maintaining comprehensive and accurate records and management information for each certified role holder and ensuring that these records are updated in a timely manner
• T&C Supervisors should be able to give presentations and deliver training to individuals and groups as required to deliver specialist learning points
• Participation in and implementation of new training courses (e.g. products, regulatory) and refresher training as required

Our values

• Responsible: Taking responsibility for tasks and challenges as well as continuous improvement
• Hands-on: Proactive approach to deliver high quality results quickly
• Passionate: commitment and striving for excellence
• Solution-oriented: Focus on customer results and fair treatment of customers with a risk-aware mindset
• Partnership: promoting cooperation and teamwork. Collaboration with an entrepreneurial spirit