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 developing 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 with the business. 

The T&C Manager will oversee the end-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.

Level 4 Diploma in Financial Planning or Level 4 IAD / PCIAM is essential.

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