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Job Title: T&C Manager (Wealth Management)
Location: Oxford
Salary: £60,000 - £65,000
The Company:
The opportunity to join a growing National Wealth Management firm who offer financial advice to families, Companies and high net worth individuals. Their friendly and helpful approach is highlighted by their outstanding client retention rate.
With over 1 billion Assets Under Management this company is really taking a positive step within the wealth management space and is an excellent time for someone looking to join an expanding business.
They are looking for a Training and Competency Manager to work within their compliance function. This is a new position at the company so the successful individual will have plenty of autonomy and the opportunity to make the position their own.
What they offer:
- Annual company bonus
- 4 x Life Assurance
- Competitive pension contributions
- 25 days holiday + BH
- Free parking on all sites
- Full exam support
Responsibilities:
- Lead and refine the adviser training & supervision process, ensuring high standards across the firm
- Design and execute adviser coaching programs, supporting professional growth and compliance excellence
- Carry out in-depth reviews of client interactions to enhance service quality and identify development areas
- Develop and maintain robust regulatory controls, aligning with evolving industry standards
- Oversee the adviser competency framework, ensuring advisers meet certification and conduct expectations
- Provide one-on-one guidance to advisers, helping them navigate complex client scenarios
- Implement continuous monitoring strategies to track adviser performance and training effectiveness
- Keep detailed, up-to-date records of all adviser development and compliance activities
- Stay informed on industry regulations and proactively adapt internal processes
The Required Skills:
- Minimum 5 years of experience working in a similar role within Financial Services
- Level 4 diploma qualified or equivalent (Chartered Desirable)
- Ability to work as part of a team and also individually
- Strong knowledge of business policies and procedures and business processes
- Excellent knowledge of FCA regulations
- Strong knowledge of pensions and investments
- Ability to travel to multiple sites when required
To discuss this opportunity further, please contact one of our Financial Planning specialists at Capio Recruitment.
"INDSBWEA"
