T&C Manager

We are delighted to be partnering with a premier independent financial advisory firm who are committed to delivering expert financial planning and wealth management services. Their client-centric approach ensures that they provide tailored financial solutions with transparency, integrity, and a deep understanding of their clients' unique needs.

Location: UK (Fully remote, with occasional travel to see advisers)

Job Description:

They are looking to appoint a Training & Competency (T&C) Manager tasked with overseeing the delivery and management of their T&C program. The successful candidate will ensure that all employees, particularly new starters, are trained, safe, and competent in their roles, aligning with company, industry, and regulatory standards.

Key Responsibilities:

• Oversee the T&C function within the business, ensuring processes are robust and adhere to compliance standards.
• Design and implement a plan to deliver training and competency for new employees.
• Remain up-to-date with regulatory changes and maintain CPD records to demonstrate ongoing compliance.
• Provide timely advice to senior management regarding regulatory issues or updates that could affect the firm.
• Prepare an annual T&C report for senior management, highlighting the performance and effectiveness of the T&C function.
• Ensure the firm can respond promptly and accurately to information requests from the Regulator.
• Continuously ensure adherence to the firm’s Compliance and T&C procedures.

Skills and Experience:

• The Level 4 Diploma in Regulated Financial Planning (DipPFS) is required as you will be responsible for the oversight of regulated individuals.
• J07/H15 (Supervision in a Regulated Environment) or an equivalent qualification is desirable.
• Significant prior experience in a training and competency role, particularly with Financial Advisers.
• Experience in constructing financial planning advice is advantageous.
• Ability to work effectively in a fast-paced environment while maintaining positive relationships with the team and key stakeholders.
• In-depth knowledge of the Regulator’s rules relevant to this role.

Benefits:

• Competitive salary based on previous experience and skill set
• 100% home working, offering excellent flexibility and work-life balance.
• Opportunities for career growth and progression within the company.
• Ongoing professional development, including support for further qualifications.
• Collaborative and supportive work environment.
• Travel expenses covered for required visits to advisers.