T & C Partner

Mattioli Woods plc; Leicester; On-site; GBP 65,000 - 90,000; Full time

Job summary

Mattioli Woods plc in Leicester seeks a Training & Competence Partner to deliver the Training & Competence scheme across the Wealth Division, ensuring FCA SYSC and SM&CR compliance while supporting adviser development. You will work with T&C Supervisors, Wealth Management Directors, Compliance and the Group T&C Officer to deliver the scheme, maintain records, conduct audits, and drive digital improvements.

This hands-on role suits a detail-focused professional who can manage multiple regulatory

Qualifications

• Experience in Training & Competence or regulatory compliance within wealth management or financial services.
• Knowledge of FCA SYSC rules and SM&CR obligations.
• Experience producing MI and reporting for governance-level audiences.
• High attention to detail across multiple concurrent processes.
• Clear, confident communication with senior stakeholders.

Responsibilities

• Scheme oversight and supervision support.
• Monitor observation completion and targets; ensure forms are completed on time.
• Coordinate internal audits, produce analysis and MI reporting.
• Maintain comprehensive T&C records for consultants (observations, PDPs, audits).
• Maintain the Training & Competence hub and related materials.
• Partner with People and Systems to optimise system usage.
• Review processes to improve efficiency via digitalisation, AI and technology.
• Ensure annual review and update of processes.
• Produce monthly CPD reporting and audits across consultant records.
• Support delivery of internal and external training needs.
• Contribute to MW Way professional skills programme with T&C Officer and MD.
• Prepare scheme MI reports for board packs; liaison with LMS providers.
• Support integration of new acquisitions into the T&C framework.
• Help produce Training and Competence content such as newsletters.

Skills

Regulatory compliance

T&C

FCA SYSC

SM&CR

Job description

THE OPPORTUNITY

This hands-on, delivery-focused role sits at the heart of the Mattioli Woods Training & Competence scheme. Ideally, we are looking for someone with a background in compliance or T&C who takes pride in maintaining the operational integrity of our regulatory framework and supporting the development of our adviser population.

As a T&C Partner, you will own the day-to-day delivery of the T&C scheme across the Wealth Division, working closely with T&C Supervisors, Wealth Management Directors, Compliance and the Group T&C Officer to ensure every component of the scheme is delivered to the highest standard, in full compliance with FCA SYSC requirements and SM&CR obligations across the Group.

INSIGHT INTO WHAT YOU'LL BE DOING

Scheme oversight and supervision support

• Aligned to regions you will be the main point of contact for any queries or support regarding Training & Competence
• Supporting T&C Supervisors, you will help with the monitoring of observation completion and targets, ensuring forms are completed accurately and on time.
• Co-ordinating internal audits, producing analysis and delivering MI reporting to line management
• Maintaining comprehensive T&C records for all consultants - including observation forms, PDPs, audit feedback and one-to-one documentation
• Managing the upkeep of the Training & Competence hub

Systems and Process

• Partner with People and Systems to ensure systems are used effectively and to their full potential.
• Review processes to improve efficiency through digitalisation, AI and technology.
• Ensure processes are documented, reviewed and updated on an annual basis.

Certification and compliance processes

• Managing the initial and annual Fit and Proper certification process for all certified individuals via MW Education and Workday
• Maintaining the central SPS record, including renewal tracking and regulated activity auditing to ensure no lapses in certification
• Supporting annual diagnostic assessments and taking ownership of the process from approval through to results analysis

CPD and training

• Producing monthly CPD reporting, managing bulk uploads and delivering CPD audits across at least 20% of consultant records
• Working with senior management to support the delivery of internal and external training needs
• Contributing to the MW Way professional skills programme alongside the T&C Officer and Managing Director of Wealth

Reporting and stakeholder engagement

• Preparing scheme MI reports and contributing to board packs for Wealth Management Directors and the executive team
• Acting as a key liaison with LMS providers and the People and Systems team
• Supporting the integration of newly acquired businesses into the T&C framework
• Helping to produce Training and Competence content such as Newsletters

WHAT WE'RE LOOKING FOR

This role suits a detail-oriented, self-starting professional who can manage multiple regulatory processes simultaneously and communicate confidently with senior stakeholders.

To be considered, applicants should demonstrate:

• Ideally have experience working within a T&C or regulatory compliance function in a wealth management or financial services environment
• Good working knowledge of FCA SYSC T&C rules, SM&CR and Certified Person obligations
• Experience producing MI and reporting for senior or governance-level audiences
• High attention to detail with the ability to maintain accuracy across multiple concurrent processes
• Clear and confident communication with stakeholders at all levels
• Analytical mindset - able to draw insight from data and present it in a structured, meaningful way

REGULATORY NOTE

This role operates within an FCA-regulated environment and is subject to SM&CR Conduct Rules. The post holder must maintain accurate, documented evidence of all scheme activity and must remain fit and proper throughout their tenure.