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Rev & Regs are recruiting a T&C Manager role on behalf of a reputable Wealth Management firm in London.
The purpose of this role is to provide ongoing oversight and assurance of the investment management professionals, maintaining competence.
Responsibilities:
- Oversight of individual competence sign-off by conducting activities in line with T&C scheme and SMCR requirements, such as observing client meetings, regular 1-2-1 meetings, and knowledge assessments.
- Utilise Data around MI and KPIs to assess competence levels and address training needs.
- Develop and support annual knowledge tests to demonstrate ongoing competence to the FCA for relevant regulated activities.
- Ensure conduct standards are met. Develop a supervision plan, tailoring frequency to individual needs.
- Work with Compliance, HR, and Business Assurance to uphold regulatory standards.
- Partner with L&D to identify and address broader development needs.
- Provide technical coaching and development as needed.
- Give consistent feedback to individuals to maintain high standards.
- Maintain accurate records of T&C activities and collaborate with Directors and the Senior T&C Manager to analyse trends at both individual and business levels.
Qualifications & Experience:
- Relevant supervisory experience and qualifications: CII H15/AF6, or equivalent, and/or CISI Level 4, or equivalent.
- Fully maintained CPD.
- T&C Supervisory experience and file checking within wealth management.
Salary - £77,000
Location - London / Hybrid
