T&C Manager

Overview

About Our Client
Our client is a leading UK wealth management and financial planning business, providing a comprehensive range of financial advice, investment management, retirement planning and protection solutions to individuals and businesses. Through a combination of organic growth and strategic acquisitions, they continue to expand their national presence while maintaining a strong focus on client outcomes, regulatory excellence and Adviser development.

Our client is seeking an experienced Training & Competence Manager to join their compliance function. This role is responsible for supporting the development of Trainee Financial Planners through to Competent Adviser Status (CAS), assessing the competency of Advisers joining the business through acquisitions and providing ongoing supervision and coaching to qualified Financial Planners. The successful candidate will play a key role in maintaining high professional standards, ensuring regulatory compliance and fostering a positive culture of continuous learning and development across the Adviser community.

• Act as a first-line Supervisor for Financial Planners across multiple locations
• Ensure Advisers are supervised in line with the firm s training & competence scheme
• Deliver new entrant training programmes and other training interventions as required
• Work closely with learning & development teams to support Trainee Advisers through to CAS and beyond
• Conduct role plays, live observations, file reviews and competency assessments
• Provide constructive feedback, coaching and development support to Advisers
• Review performance metrics and KPIs to identify development needs and agree appropriate CPD plans
• Support the maintenance and development of training materials, policies and procedures
• Ensure personal competency and regulatory knowledge remain up to date
• Promote a client-centric culture and share best practice across the business
• Support the wider compliance function in maintaining effective systems and controls

• Current experience in a training & competence role within financial services
• Proven experience supervising Financial Planners across investments, pensions and protection
• Strong coaching and mentoring capabilities
• In-depth understanding of FCA regulations and training & competence requirements
• Knowledge of complaints handling procedures and regulatory obligations
• Understanding of financial crime regulations and GDPR requirements
• Experience updating policies, procedures and training materials
• Strong Microsoft Office skills
• Commercially aware with a collaborative and professional approach

• Level 4 diploma in Financial Planning (or equivalent) as a minimum
• Additional qualifications such as AF7, CF8, ER1, H15, J07, or AF6 would be advantageous but are not essential

• Opportunity to join a growing and highly respected wealth management business
• Significant involvement in adviser development and competency programmes
• Flexible hybrid/remote working environment
• Career progression within a collaborative and professional culture
• Exposure to a national Adviser network and acquisition integration projects

This opportunity would suit an experienced training & competence professional who is passionate about Adviser development, enjoys coaching and mentoring and possesses a strong understanding of the UK regulatory landscape. You will be comfortable working autonomously, travelling when required and building strong relationships with Advisers and stakeholders across the business.

Please reach to Tom Roberts for more information.
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At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.