Training & Competence Manager in London - Seven Investment Management

About The Role

Purpose
The Training & Competence Manager is responsible for the practical delivery and ongoing management of the Training & Competence framework, with a particular focus on ensuring Advisers and colleagues in regulated or client-facing roles can evidence the knowledge, skills and behaviours required to perform effectively. The role is hands-on, supporting the day-to-day operation of T&C activity, delivering assessments, maintaining accurate records, providing feedback and working closely with the Private Wealth business to embed consistent standards across advice, competence and professional development.

Responsibilities
Training & Competence Delivery:
• Support the day-to-day delivery of the Training & Competence framework, ensuring activity is practical, timely and aligned to business needs, particularly for Advisers and key regulated roles
• Apply regulatory and internal T&C requirements in practice, helping the business evidence that Advisers and Certified Persons remain competent to perform their roles

Training Programs | The Academy:
• Design, deliver and manage practical training activity that supports Advisers, managers and colleagues in regulated or client-facing roles to build and maintain the required knowledge, skills and competence
• Work closely with Private Wealth, Compliance, People and external training providers to develop and deliver high-quality training content that addresses real business and adviser development needs
• Tailor training and support to the specific needs of different advice roles, business areas and levels of experience, with a particular emphasis on the Private Wealth adviser population
• Provide timely MI and practical insight to managers so they can understand completion, engagement, competence risks and any follow-up action required

Competence Assessments:
• Carry out regular competence assessments for Advisers and relevant regulated roles, including role plays, observations of client meetings, product testing and knowledge assessments
• Assess initial and ongoing competence of new and existing Advisers, documenting outcomes clearly and making practical recommendations to support FCA Certification sign-off where appropriate
• Undertake hands-on assessment activity, including live or recorded client meeting observations, supervision of knowledge testing, review of CPD logs and checks of supporting T&C evidence
• Provide clear verbal and written feedback to Advisers and managers, ensuring actions are recorded, followed up and reflected accurately in individual T&C files and scorecards
• Develop and support Adviser Improvement Plans for advisers who demonstrate low suitability scores, knowledge gaps or other competence concerns
• Work directly with advisers and their managers through improvement plans, setting clear objectives, timelines and practical support to help address identified issues
• Support the Advisers in areas of weakness, including file construction, knowledge gaps &/or difficult client interactions

Data Management & Reporting:
• Maintain accurate and up-to-date T&C records, including assessment outcomes, feedback, action plans, CPD evidence and supporting documentation
• Use T&C data and MI to identify themes, gaps, trends and actions required across the adviser population, particularly within Private Wealth
• Produce practical reporting for managers and leadership, highlighting competence themes, overdue actions, emerging risks and areas where further support or intervention may be required

SMCR:
• Support the annual SMCR certification process by collating competence evidence, reviewing T&C records, identifying gaps and helping managers evidence that Certified Persons remain fit and proper
• Work with the Head of People, Private Wealth and Compliance Managers to ensure the SMCR review process is completed on time, supported by clear evidence and aligned to regulatory requirements

Other:
• Demonstrate the organisation's Vision, Purpose, Values, and promote role model behaviour in the company
• While not directly interacting with customers, your actions should align with upholding the FCA's Consumer Duty principles, thereby ensuring the business acts in good faith to retail customers and helps support them to pursue their financial objectives
• Work with Senior Management to ensure the T&C Scheme is relevant and remains fit for purpose

About You

Knowledge
• Up-to-date awareness of regulatory and internal procedure requirements for those providing investment advice.
• Understanding of the principles and practices for identifying and advising on investment needs, including initial and ongoing suitability requirements as per the 7IM Suitability process, and proper documentation of these processes.
• Comprehensive knowledge of the investment management industry, including portfolio construction, asset allocation, UK and overseas investment markets, performance measurement, and regulatory responsibilities.
• Awareness of changing trends within the industry and an appreciation of the opportunities and challenges of working with external financial planners.

Qualifications
• Level 4 CII / CISI RDR qualified
• Experience of clients’ wider needs, including Mortgages & Protection, desirable but not essential
• Appropriate experience and training to provide Regulated Supervision. Supervision qualification desirable but not essential
• Eligible to apply for a Statement of Professional Standing to Provide Regulated Supervision in a live client environment (TBC)

Skills/Other relevant information
• Strong practical experience in Training & Competence delivery, adviser assessment, record-keeping, and supporting regulated advice businesses, ideally within Private Wealth or financial planning

Not Specified

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Training & Competence Manager

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