T&C Manager

Broadgate; Bristol; On-site; GBP 55,000 - 75,000; Full time

Job summary

A leading financial services firm in the UK is seeking a T&C Function Leader to oversee training and compliance across its Financial Planning teams. The ideal candidate will have a level 4 Diploma in Regulated Financial Planning, experience in the IFA industry, and strong managerial skills. Responsibilities include ensuring adherence to FCA regulations and delivering effective training programs.

Qualifications

• Minimum level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA).
• Working knowledge of FCA Principles and Rules.
• Good working knowledge of Microsoft Office products.
• Experience in the IFA/Wealth & Financial Planning industry.

Responsibilities

• Lead the T&C function while supporting line management.
• Ensure compliance with internal policies and FCA regulations.
• Manage T&C Supervisors to meet regulatory requirements.
• Deliver and arrange training for advisers across the Group.
• Collaborate with Compliance, Business Quality, HR, and other departments to train and monitor the advice process.
• Maintain, update and review T&C records and processes for accuracy and compliance.
• Support line management through observed meetings, coaching, and feedback to advisers.
• Agree and deliver training plans for advisers across the Group.

Skills

Knowledge of FCA Principles and Rules

Training and development skills

Coaching and feedback provision

Management skills

Education

Minimum level 4 Diploma in Regulated Financial Planning

Tools

Microsoft Office Suite

Word

Excel

Outlook

PowerPoint

Job description

Overview

To lead the T&C function while supporting the line management of Financial Planners, Mortgage Advisers, Employee Benefit Consultants, including Appointed Representatives (advisers), within the Group to deliver training and monitor competency in line with FCA regulations and the company’s T&C Scheme.

Key Responsibilities

• Ensure internal policies and FCA regulatory requirements are adhered to across the Group.
• Adhere to Company T&C Scheme.
• Management of T&C Supervisors, ensuring the Group complies with the best business practices and regulatory requirements.
• Oversee the T&C of regulated and other individuals within the Group, ensuring compliance with business practices and regulatory requirements.
• Work with Compliance, Business Quality, Regional Sales Directors, HR, and other departments to ensure consistent training and monitoring of the advice process.
• Maintain, update, and review T&C records and processes to ensure accuracy and compliance.
• Support line management in supervising Financial Planners, Mortgage Advisers, and Corporate Financial Planners through observed meetings, 1-2-1 development sessions, coaching, and feedback.
• Agree on, implement and deliver training plans for advisers across the Group, and deliver and/or arrange training sessions in both group settings and individually.

Experience & Qualifications

• Minimum level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)
• Working knowledge of FCA Principles and Rules.
• Good working knowledge of Microsoft Office products including Word, Excel, Outlook and PowerPoint.
• Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry.

Seniority level

• Not Applicable

Employment type

• Full-time

Job function

• Finance

Industries

• Investment Management