Role - Training & Competency Manager
Industry - Wealth Management
Location - Hertfordshire (min 1-2 days a week)
Salary - £60k-£80k DoE
Role Summary
A growing and forward-thinking wealth management firm is seeking a Training and Competency (T&C) Manager to design and lead a scalable, high-quality T&C framework across all levels of adviser experience — from newly hired professionals to experienced financial advisers and graduate trainees.
This strategic role will ensure that all advisers meet regulatory and internal standards while supporting a culture of professional growth and continuous improvement. A key aspect of the role includes leading the development and ongoing management of an Adviser Academy, designed to attract and develop high-potential graduates and early-career professionals into fully competent financial advisers.
The successful candidate will work cross-functionally with Compliance, HR, and senior management to shape the future of adviser training and development.
Key Responsibilities
Training & Competency Framework
* Develop and manage a firm-wide T&C framework for all advisers, aligned with FCA regulatory requirements and internal quality standards.
* Conduct regular and ad hoc competency assessments across adviser and investment management teams.
* Lead the SMCR certification process, including annual FIT reviews and senior manager appraisals.
* Support consistency in adviser onboarding, training, and progression through structured, scalable approaches.
Adviser Academy Leadership
* Design and launch a structured Adviser Academy to attract, train, and develop graduates and early-career entrants.
* Create blended learning pathways combining technical, behavioural, and client-facing skills.
* Provide mentorship, performance tracking, and competency sign-off for Academy participants.
* Adapt and improve Academy content in line with feedback, regulatory changes, and business priorities.
Onboarding & Development of Experienced Advisers
* Develop tailored induction and “firm-specific” upskilling programmes for experienced adviser hires.
* Ensure alignment with internal culture, advice standards, and operational procedures.
Professional Standards & Qualifications
* Monitor qualifications, CPD, and certifications to ensure ongoing compliance.
* Manage relationships with professional bodies and external training providers.
* Coordinate exam support, study planning, and SPS renewals.
Learning & Development Strategy
* Deliver firm-wide learning initiatives to support technical knowledge, behavioural skills, and leadership development.
* Define career pathways and promotion criteria for advisory and support roles.
* Foster a culture of feedback, coaching, and continuous improvement.
Operational Training & Compliance
* Oversee mandatory training delivery (e.g. AML, Conduct, Ethics) and ensure accurate tracking.
* Maintain complete training records in relevant HR and compliance systems.
* Provide management information (MI) to senior stakeholders on T&C performance and risks.
* Support regulatory referencing and adviser onboarding checks as needed.
Stakeholder Engagement
* Act as a subject matter expert on T&C matters for HR, Compliance, and business leadership.
* Coach and support internal colleagues to maintain T&C resilience and continuity.
* Contribute to broader workforce planning and adviser talent initiatives.
Skills and Experience
Essential:
* Significant experience in managing or designing a T&C framework within regulated financial services.
* Strong knowledge of FCA regulations (TC, FIT, SYSC, APER, COBS).
* Experience in adviser training, learning design, or talent development.
* Ability to manage projects and collaborate with stakeholders at all levels.
* Strong communication and reporting skills.
* Experience working with both graduate entrants and experienced adviser populations.
Desirable:
* Level 4 qualified (e.g., via CISI, CII or equivalent).
* Experience creating or managing an adviser academy or similar structured programme.
* Familiarity with digital learning tools, HRIS, or LMS platforms.
* Background in wealth management, financial planning, or investment advice.