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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in managing the Senior Managers & Certification Regime (SMCR) framework, including conducting assessments, delivering training, and ensuring compliance with regulatory requirements. Strong stakeholder management and analytical skills are essential for supporting governance and risk management initiatives.
Highest-signal resume keywords
Senior Managers & Certification Regime (SMCR)Regulatory ComplianceStakeholder ManagementTraining DeliveryAnalytical Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulated Financial PlanningFitness & Propriety AssessmentsConduct Rules ManagementRegulatory ReportingTraining & Competency ReviewsGovernance ReportingThematic AnalysisFCA ApplicationsRisk ManagementConsumer Duty Knowledge
Soft Skills
Organisational SkillsTime ManagementCommunication SkillsCritical ThinkingProblem-Solving
Certifications & Qualifications
Level 4 Qualification in Regulated Financial PlanningLevel 3 Training QualificationSupervisory Qualification (e.g. AF6 or J07)
Industry Keywords
Financial ServicesRiskComplianceSupervisionTraining & CompetencyFCAWealth ManagementIFAGovernanceOrganisational Change
About the role
Key responsibilities & impact- Lead the ongoing management and development of the firm's SMCR framework
- Maintain Senior Managers' Statements of Responsibilities and the Responsibilities Map
- Manage annual Fitness & Propriety assessments and attestations for Senior Managers
- Support Senior Managers in evidencing accountability and reasonable steps under SMCR and Consumer Duty
- Coordinate FCA applications, approvals and permissions relating to Senior Managers, Certified Individuals and Non-Executive Directors
- Deliver SMCR and Conduct Rules training across the business
- Manage the Conduct Rules breach framework, including investigations, escalation and regulatory reporting
- Conduct reviews of Training & Competency activity to ensure compliance and accuracy
- Produce SMCR management information, committee reports and thematic analysis
- Support governance, regulatory change and wider risk management initiatives
- Build effective relationships with stakeholders across the Group to promote a culture of accountability and good conduct
- Undertake ad-hoc project work in line with business requirements and management direction
Requirements
What you’ll need- Minimum Level 4 qualification in Regulated Financial Planning
- Experience within financial services, ideally in risk, compliance, supervision, training & competency or financial planning
- Strong understanding of the Senior Managers & Certification Regime (SMCR)
- Excellent organisational and time management skills
- Strong stakeholder management and communication skills
- Ability to interpret and apply regulatory requirements in a practical manner
- Strong analytical, critical thinking and problem-solving skills
- Experience delivering training and coaching to a range of audiences
- Sound regulatory judgement and attention to detail
- Professional, ethical and able to manage sensitive information with discretion
- Satisfactory completion of FCA pre-employment vetting, which may include adverse financial history, criminal records, UK directorship and disqualifications checks
- Desirable: Level 3 Training Qualification and/or supervisory qualification (e.g. AF6 or J07)
- Desirable: Experience dealing directly with the FCA
- Desirable: Experience within an IFA, wealth management or financial planning business
- Desirable: Experience supporting acquisitions, integrations or organisational change
- Desirable: Experience producing governance reporting and management information for senior stakeholders
- Desirable: Knowledge of Consumer Duty and wider FCA governance requirements
Benefits
Comp & perks- Non-contributory Pension Scheme (8%)
- Private Medical Insurance
- Cashplan
- Income Protection
- Critical Illness
- Death in Service
- Parking allowance
- Generous holiday allowance, rising with length of service
- Work from home and flexible working available
- Excellent culture, promoting employee wellbeing and engagement