Compliance

Training & Competency

Compliance and T&C

Training & Competency

We can ensure you meet the required regulatory needs and provide added value input, which will have a positive effect on your business.

The specific areas of assistance we offer are:-

Preparation of your training and competency plan with annual review

Structured, periodic T&C events including:

• Initial assessment and induction training for new advisers
• Generic product knowledge assessments
• Review of business Key Performance Indicators
• File/sales reviews
• Sales observation assessments
• 1:1 adviser interviews
• Adviser risk assessment and gap analysis
• Adviser development programmes