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T&C Manager – Wealth Manager

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £70,000 basic plus package

  • Consultant:

    Edward Manson

  • Email:

    emanson@merje.com

  • Job ref:

    EM/16905

  • Published:

    12 days ago

Client

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.

 

Key responsibilities

 

  • 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.

 

 

The Person

 

  • 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.