T&C Manager - Branch Supervision | London, UK

Charles Stanley & Co.; London; Hybrid; GBP 50,000 - 80,000; Full time

Job summary

An established industry player is looking for a T&C Manager to join their Branch Supervision team. This exciting home-based role involves supervising multiple branches across the UK, ensuring compliance with regulations and company policies. The ideal candidate will have a strong background in the UK wealth management sector, particularly in investment solutions for private clients. You will work closely with Branch Principals, provide guidance on regulatory requirements, and develop strong relationships to ensure effective operations. If you are self-motivated, results-oriented, and ready to make a significant impact, this opportunity is perfect for you.

Qualifications

• Extensive knowledge of UK investment management for private clients.
• Experience supervising T&C within wealth management.

Responsibilities

• Supervise investment advisers registered with the FCA.
• Conduct regular visits to branches for compliance checks.
• Assist in decisions related to new branches or wealth managers.

Skills

Knowledge of UK wealth management

Understanding of FCA regulations

Supervisory experience in T&C

Excellent communication skills

Leadership qualities

Organizational skills

Decision-making skills

Education

CISI Level 4 (IAD) or equivalent

Tools

MS Office

Job description

T&C Manager - Branch Supervision

Charles Stanley & Co. London, United Kingdom

Job Description

Raymond James Investment Services (RJIS) is seeking a T&C Manager to join our Branch Supervision team. The role involves supervising multiple branches across the UK, ensuring compliance with company policies, procedures, and UK laws and regulations. The ideal candidate will possess extensive knowledge of the UK investment management sector for private clients and demonstrate the ability to provide T&C oversight to branches and wealth managers.

You will assist in the approval of new RJIS branches, develop strong relationships with Branch Principals, and provide guidance on regulatory and company requirements. The role includes direct supervision of Branch Principals to ensure they meet their supervisory responsibilities.

This is a home-based position with regular visits to branch offices across the UK, primarily along the M4/M40 corridor, and periodic trips to London Head Office.

Principal Duties:

1. Supervise investment advisers registered with the FCA under RJIS.
2. Oversee the operation and development of the RJIS T&C Scheme and maintain accurate records.
3. Assist in decisions related to new branches or wealth managers and enforce disciplinary actions when necessary.
4. Conduct regular visits to branches to ensure compliance with UK law, FCA regulations, and RJIS policies.
5. Work with Branch Principals on CPD thresholds and SPS compliance.
6. Monitor qualifications to ensure regulatory standards are maintained.
7. Approve and supervise increases in investment adviser activities within branches.
8. Utilize MI and analytics reports to oversee investment activities and address trends.
9. Review complaint logs and operational reports to maintain service quality.
10. Collaborate with branches and internal teams to resolve queries and complaints.
11. Escalate issues and work with stakeholders on resolutions.
12. Promote communication and best practices among branches.
13. Assist with remedial actions from monitoring, setting standards and deadlines.
14. Ensure branch training on regulatory components using internal/external resources.
15. Maintain and develop personal CPD.

Knowledge, Experience and Qualifications:

1. Experience and knowledge of the UK wealth management industry, especially investment solutions for retail clients.
2. Understanding of UK FCA regulation, the FCA Handbook, and applicable laws.
3. Experience supervising T&C within wealth management.
4. CISI Level 4 (IAD) or equivalent qualification.
5. Proficiency in MS Office.
6. This role is a Certification Function under SMCR; certification must be renewed annually by RJIS.

Attributes:

1. Excellent verbal and written communication skills.
2. Diplomatic with strong leadership qualities.
3. Good decision-making skills.
4. Organized with an eye for detail.
5. Ability to multitask, prioritize, and meet objectives.
6. Self-motivated, results-oriented, and focused on goals.
7. Willingness to travel across the UK.
8. Full driving license required.