Wealth Management - Technical Governance & Training Associate

To provide operational and technical support to the Training & Competence (T&C) function within Wealth Management. This role will assist in maintaining advice standards, supporting T&C processes, and coordinating technical projects. Over time, the role will develop deeper technical expertise and leadership capability to act as deputy to the Technical Director.

To place the interests of customers at the centre of all activities, act in a way that is consistent with achieving good outcomes for consumers; and t o comply with the FCA and PRA's Conduct Rules.

Key Responsibilities:

Training & Competence Support

• Assist in maintaining T&C records administration, and MI reporting.
• Coordinate initial training programmes for new joiners, and delivery of technical assessments via Competent Advisor.
• Support the process for Statements of Professional Standing (SPS) applications and FCA reporting.
• Help design and deliver learning resources via platforms such as Skillserve

Policy & Governance Support

• Assist in updating and maintaining advice standards, templates, and policy documents.
• Support monitoring of adherence to governance processes across advisory teams.
• Manage and support the T&C collateral and document control process.

Technical & Market Research

• Track legislative changes, FCA updates, and market trends to inform collateral.
• Prepare briefing notes for internal forums and technical learning sessions.

Stakeholder Liaison

• Act as first point of contact for routine technical queries before escalation.
• Support communication between T&C, Compliance, Marketing, and Advisory teams.

MI & Reporting

• Prepare draft MI reports for review by the Technical Director.

Assist in data analysis for T&C performance and risk indicators.

Key Interfaces:

• Teams across Wealth Management
• Client facing roles in Banking
• Learning and Development
• Compliance
• Marketing

Person Specification

Knowledge/ Experience/Skills:

• Demonstrable experience working in Wealth Management or Financial Services
• Awareness of the regulated Financial Planning environment, the High Net Worth (HNW) segment, and holistic Wealth Planning and Investment Management disciplines (across investment, pensions, protection, estate planning and banking)
• Strong organisational and administrative skills.
• Ability to absorb and summarise technical information clearly.
• Good written and verbal communication skills.
• Proficient in Microsoft Office (Excel, Word, PowerPoint).

Personal Attributes

• Proactive and eager to learn.
• Strong attention to detail.
• Ability to work collaboratively across multiple teams.
• Flexible and resilient when faced with operational challenges.

Qualifications:

• Minimum: Level 4 Diploma in Financial Planning (or working towards).
• Long-term: Progress toward Level 6 and Chartered status to align with deputy responsibilities.

Competencies:

• Team Working
• Working proactively
• Problem Solving and Judgement
• Planning and reviewing
• Communication and confidence