JJ SEARCH LIMITED
SMCR & T&C Compliance Officer , CPD Requirements , Private Banking
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SMCR & T&C Compliance Officer, CPD Requirements, Private Banking
The Company
Our client is a highly recognised Private Bank specialising in investment, institutional asset management & private wealth management.
The Role
THIS ROLE IS A 12 MONTH CONTRACT ROLE WITH THE POTENTIAL TO CONVERT TO PERMANENT
The SMCR & T&C Compliance Officer will design, maintain, and embed the Private Bank’s Training & Competence policy and procedures aligned to FCA requirements and the Private Bank risk appetite.
- Own the Certified Persons and Senior Managers training strategy, ensuring staff are competent, remain competent, and understand their responsibilities under the regime.
- Operate and continuously improve Fit & Proper assessments for Senior Managers and Certified Persons, including annual/trigger reviews, evidence capture, and escalation.
- Manage the annual T&C processes: certification, SPS renewals, Conduct Rules training/attestations, and breach reporting.
The SMCR & T&C Compliance Officer will keep the FCA directory for Certified Persons up to date and reconciled including reviews of the Material Risk Takers. Support the Head of Regulatory Compliance to maintain the firm’s Management Responsibilities Map under the Senior Managers Regime.
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- Conduct skills-gap analysis and develop training plans for SMFs and track through to completion.
- Define role-based competence standards, learning pathways, supervision KPIs, and CPD requirements; manage remediation plans.
The SMCR & T&C Compliance Officer will support in building and delivering a risk-based compliance training curriculum (e.g., conduct, AML/financial crime, Consumer Duty, product and suitability; sector-specific topics as relevant).
- Source and manage external providers and qualifications (e.g., CISI/CII).
- Implement blended learning and track completion/effectiveness.
- Produce MI for ExCo/Board: certification status, training completion, competence trends, breaches, remediation, and culture indicators.
Partner with Senior Managers, HR, and Compliance Monitoring to align T&C with performance and risk management; support regulatory engagements and audits.
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- Maintain governance for T&C/SMCR (committee reporting, ToR, action tracking) and ensure auditable records for all processes.
Coordinate remediation and supervised roles where competence gaps are identified; track closure of actions. Perform gap analysis against FCA Handbook expectations (COCON, SYSC, TC, FIT) and industry good practice; drive continuous improvement.
The Candidate
- 5+ years in T&C, L&D, Compliance, or Risk within an FCA-regulated environment.
- Strong knowledge of SMCR (Senior Managers, Certification, Conduct Rules) and Fit & Proper requirements; familiarity with FCA Handbook (COCON, SYSC, TC, FIT).
- Proven experience running certification cycles, competence frameworks, QA/file review methodologies, and MI reporting.
- Qualifications desirable: CISI/CII/ICA/CIPD
- Strong stakeholder management and coaching capabilities; high attention to detail, sound judgement, and integrity
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