Our client is a national Wealth Manager with a strong reputation for exceptional advisory services. Managing around £8bn in assets they have become one of the key players in the market and due to continued evolution they are currently looking to recruit a T&C Manager.
You will be tasked with supporting the Compliance Director in delivering high-quality Supervision in accordance with the company T&C Scheme, providing day- to-day management, direction and development of T&C Supervisors, and take a lead role in driving key team initiatives.
- Managing the delivery of the company T&C Scheme.
- Leadership, direction and line management of Training & Competence Supervisors.
- Managing the information flow in support of the Certification process, validating Training and Competence Supervisor submissions and challenging where appropriate.
- Adopt a ‘hands on’ approach and leading by example, demonstrating what effective Supervision is, setting the standards and coaching to that standard.
- Facilitate the annual Training and Competence Supervisor training and assessment course, setting the agenda and developing appropriate content.
- Report on T&C activity to the Compliance Director and highlight areas of regulatory risk, together with details of mitigating actions.
- Coaching and development of Training & Competence Supervisors, including ensuring that that they build strong working relationships and engagement with Planners/stakeholders.
- You will have previously operated in a T&C management/oversight role within a Wealth/Financial Planning or IFA firm
- QCF level 4 Diploma in Financial Services as a minimum as well as a Supervisor Qualification e.g. H15, JO7
- Excellent knowledge of the UK regulatory system in general, particularly those aspects relevant to advisory businesses
- Excellent verbal and written skills
- Strong attention to detail and inquisitive nature;
- Strong interpersonal skills – engagement with a variety of stakeholders across the business
- Demonstrating behaviours which set the culture of the company.