Training & Competency Manager

Alexander Lloyd; Greater London; On-site; GBP 43,000 - 46,000; Full time

Job summary

An expanding investment manager in London seeks a Training & Competence Manager to supervise investment advisers and ensure compliance with FCA regulations. In this mid-senior level role, you will lead the development and maintenance of the Training & Competence Scheme, participate in onboarding new advisers, and conduct regular site visits. This position offers a car allowance, performance bonuses, PMI cover, and additional benefits, making it an attractive opportunity for those with a strong background in wealth management and financial regulation.

Benefits

Car Allowance

Performance Bonus

PMI Cover

Additional Company Benefits

Qualifications

• Proven experience in wealth management supervision and financial planning.
• Strong understanding of FCA regulations and compliance standards.

Responsibilities

• Supervise investment advisers to ensure compliance with FCA regulations.
• Lead development of the Training & Competence Scheme and record-keeping.

Skills

Wealth Management Supervision

UK Financial Regulation

Compliance Assessment

Training & Competence Scheme Development

Education

IMC Qualification

Securities Diploma

Full FPC Level

Job description

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Direct message the job poster from Alexander Lloyd

Providing SME & Large Corporate business leaders with excelling talent to continue business growth!| Pensions | Investments | Actuarial | Compliance…

Alexander Lloyd are partnered with an expanding Investment Manager based in the centre of London who are looking for an experienced Training & Competence field-based Manager to help train their current Advisers.

Key Responsibilities include:

• Supervise a network of authorised investment advisers to ensure full compliance with FCA regulations and internal governance standards.
• Lead the development, implementation, and maintenance of the Training & Competence (T&C) Scheme, ensuring robust record-keeping systems are in place.
• Participate in the on-boarding process for new branches and advisers, including due diligence and compliance assessments, with the authority to recommend disciplinary actions or terminations where appropriate.
• Conduct regular site visits to branches, supporting both regulatory and business development initiatives while reinforcing compliance expectations.
• Support Branch Principals in maintaining T&C standards for themselves and their teams, including continuous professional development and qualifications.

About You:

• Proven experience in wealth management supervision, particularly in retail investment management and financial planning environments.
• Strong understanding of UK financial regulation, including deep familiarity with the FCA Handbook and related legislation.
• Qualified to IMC, Securities Diploma, or full FPC level, or able to demonstrate equivalent practical experience.

In return you will receive a Car Allowance to cover travelling to the wider offices of the business, performance bonus, PMI cover and other additional company benefits.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Training, Business Development, and Consulting

• Industries

  Investment Management, Financial Services, and Investment Advice

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