Training & Competence Supervisor

EFG International; United Kingdom; On-site; GBP 45,000 - 60,000; Full time

Job summary

A leading financial services firm in the UK is looking for a T&C Supervisor to oversee Certified Role Holders and ensure compliance with the Training and Competence Scheme. The role involves monitoring training outputs, updating management information, and facilitating professional development. Ideal candidates will have a Level 4 Investment Advice Diploma and strong knowledge of the financial services landscape. The position offers competitive benefits including pension contributions and private medical cover.

Benefits

Competitive non-contributory pension

Enhanced annual leave

Private Medical Cover

Life Insurance

Income protection

Electric Vehicle leasing

Travel loans

Qualifications

• In-depth knowledge of financial services.
• Ability to resolve T&C shortfalls.
• Skill in making presentations and delivering training.

Responsibilities

• Supervise Certified Role Holders for compliance.
• Manage CRO Dashboards and Risk Scorecards.
• Ensure adherence to the Training and Competence Scheme.

Skills

Financial Services industry understanding

Investment management strategies

Suitability checking for regulated products

Excel spreadsheet proficiency

Effective feedback

Report writing

Education

Minimum Level 4 Investment Advice Diploma

Job description

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We are seeking a detail-oriented and proactiveT&C Supervisorto 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 will include implementation of the Professional Standards Programme (T&C Scheme) for EFG Private Bank UK (including EFG Harris Allday) and ensuring Certified Role holders are adequately supported, trained, and assessed to maintain their ongoing competence to provide ongoing advice & services.

Skills and experience

• Ongoing monitoring of Client Relationship Officer (CRO) Training and Competence Supervisor outputs to maintain compliance with business requirements and the T&C Scheme.
• Ongoing collation and monitoring of the relevant MI. Managing CRO Dashboards and Risk Scorecards to ensure that Supervisory activities, KRIs and BRIs are continually updated and supervised.
• To carry out the procedures laid down in the Training and Competence Scheme and to assist with delivery of appropriate remedial action across EFG Private Bank UK.
• Ensure that relevant Retail Investment Advisers and Regulated Mortgage Arrangers and Senior Management are informed of and updated with any new requirements impacting the firm.
• Resolve any shortfall in T&C requirements and report to relevant committees the supervisory activities and any issues identified.
• To ensure Statements of Professional Standing (SPS) and Continuing Professional Development (CPD) requirementsare met and that relevant Retail Investment Advisers continue to meet competence requirements
• Assess Regulated Mortgage Arrangers in accordance with Training and Competence Scheme.
• Administer and maintain the Induction Programme for the business.
• Develop, implement, and maintain the Training & Development Programme for the Certification Regime.
• They must maintain comprehensive records for each Certified Role Holders performance and risk indicators and document the prescribed steps of their development.These records have significant importance and are key to the successful implementation of the Training and Competence Scheme.

Required knowledge, skills and experience:

• In-depth knowledge, understanding and experience of: Financial Services industry Investment management strategies and markets Suitability checking for regulated products Excel spreadsheet and Word document completion Effective feedback Report writing our

Qualifications

• Minimum Level 4 Investment Advice Diploma or higher; equivalent
• The role requires skill and sensitivity in communicating subjects which from time to time may be difficult and which may also have an impact on the Certified Role Holders income and workload.
• Responsible for keeping comprehensive and accurate records and Management Information for each Certified Role Holder and ensure that these records are updated in a timely manner.
• T&C Supervisors should be able to make presentations and deliver training to both individuals and groups when required in order to relay specific learning points.
• To attend relevant new training courses (. products, regulatory) and refresher training as required.

Our Values

• Accountability: Taking ownership for tasks and challenges, as well as seeking continuous improvement
• Hands-on: Being proactive to rapidly deliver high-quality results
• Passionate: Being committed and striving for excellence
• Solution-driven: Focusing on client outcomes and treating clients fairly with a risk-aware mindset
• Partnership-oriented: Promoting collaboration and teamwork. Working together with an entrepreneurial spirit.

At EFG, we tailor our benefits based on the needs of our employees and have purposely created an extensive benefits package that looks to support/enhance employee wellbeing in as many as aspects of life as possible. Below is a high-level summary of the fantastic benefits that we offer to our employees at EFG;

• A highly competitive non-contributory pension contribution (with the option to contribute further via salary sacrifice)
• Enhanced annual leave entitlement
• Private Medical Cover
• Life Insurance
• Income protection
• Electric Vehicle leasing
• Travel loans
• A wide range of other benefits and opportunities for employees to take advantage of, such as Wellness Apps, Mortgage Brokering services, Insurance discounts, access to discount portals and much more.

Application

Should you wish to apply for this position use this link to apply.