T&C Manager , Financial Advice , CPD/SPS

JR United Kingdom; London; On-site; GBP 40,000 - 70,000; Full time

Job summary

An established Wealth Management business is seeking a skilled T&C Manager to enhance the development of Junior Advisors. This role involves providing regulatory oversight, coaching, and ensuring compliance with FCA standards. You will play a pivotal role in guiding Financial Advisors through their professional development, ensuring they meet the necessary qualifications and performance levels. Join a forward-thinking firm dedicated to excellence in financial advice and help shape the future of aspiring Advisors in a supportive environment.

Qualifications

• Experienced in T&C or Supervisory roles with a focus on coaching.
• Strong understanding of FCA standards and compliance requirements.

Responsibilities

• Oversee development journey for Trainee and Junior Advisors.
• Ensure compliance with FCA training and competence requirements.

Skills

Coaching and Mentoring

Regulatory Compliance

Communication Skills

Financial Advice Processes

Wealth Management Knowledge

Education

Relevant Financial Qualifications

Job description

Client: JJ SEARCH LIMITED

Location: London, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views: 4

Posted: 24.04.2025

Expiry Date: 08.06.2025

Job Description:

The Client

An established Wealth Management business with running financial planning and discretionary investment portfolios.

The Role

This is a great opportunity for an experienced T&C Manager working closely with the Front Office ensuring that Front Office Wealth Management also develops Junior Advisors.

The T&C Manager will also offer regulatory oversight, soft skills coaching, and business management guidance to ensure they are well-prepared for a successful career in Financial Advice.

The T&C Manager will ensure Financial Advisors and Wealth Advisors meet FCA training and Competence requirements, completing relevant qualifications and all licensing documentation.

The T&C Manager will ensure Advisers are held accountable for their own professional development and that all Trainee Advisors are performing to the levels required within the business.

The T&C Manager will oversee the end-to-end development journey for Trainee and Junior Advisors, conducting regular observations, tracking and ensuring completion of qualifications, and providing detailed compliance support within the business while also maintaining clear audit trails and documentation of all T&C related activity.

The Candidate

Experienced within a T&C or Supervisory role.

• Strong coaching and mentoring abilities; ability to motivate, support, and challenge Advisers in a constructive way.
• Regulatory & compliance expertise - understanding of FCA standards and operate compliantly.
• Excellent communication and interpersonal skills; capable of influencing and guiding.
• In-depth knowledge of financial advice processes, regulatory obligations, and best practices.
• Familiarity with CPD, SPS renewals.
• Good understanding of the Wealth Management Industry.