T&C Lead: Regulated Wealth Management & Compliance

Clayton Davies Ltd; West Yorkshire; On-site; GBP 42,000 - 60,000; Full time

Job summary

Clayton Davies Ltd is seeking an experienced Training & Competence Supervisor to uphold customer outcomes, adviser competency and regulatory compliance within a regulated wealth management environment. The role collaborates with Compliance and senior leadership to oversee monitoring, QA reviews and competency assessments.

The successful candidate will drive continuous improvement, deliver coaching, and ensure accurate regulatory records and SM&CR documentation are maintained.

Qualifications

• Minimum Level 4 Diploma in Financial Planning (or equivalent).
• Previous experience within a regulated financial advice environment.
• Strong understanding of FCA Training & Competence requirements.
• Experience conducting file checks, competence assessments or quality reviews.

Responsibilities

• Manage and enhance the firm's Training & Competence framework.
• Conduct file reviews to assess the suitability and quality of regulated advice.
• Monitor adviser performance and competency against regulatory and internal standards.
• Deliver constructive feedback, coaching and support to advisers.
• Identify trends, recurring issues and training requirements.
• Produce meaningful management information and quality assurance reports.
• Support the maintenance of SM&CR documentation and regulatory records.
• Assist with internal audits, monitoring activities and process improvements.
• Escalate compliance risks and customer outcome concerns where appropriate.
• Contribute to the ongoing development of customer journey and operational standards.
• Work collaboratively with stakeholders across Compliance, Operations and Sales teams.

Skills

Regulatory knowledge

Coaching & feedback

Stakeholder collaboration

Education

Level 4 Diploma in Financial Planning

FCA Training & Competence familiarity

Job description

Clayton Davies Ltd is seeking an experienced Training & Competence Supervisor to uphold customer outcomes, adviser competency and regulatory compliance within a regulated wealth management environment. The role collaborates with Compliance and senior leadership to oversee monitoring, QA reviews and competency assessments.

The successful candidate will drive continuous improvement, deliver coaching, and ensure accurate regulatory records and SM&CR documentation are maintained.