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T&C Manager

Posted: May 6th 2022

London

We are currently looking to hire a T&C Manager for our Private Clients business based in London.

The purpose of the role is to focus on promoting, developing and leading the Training and Competency of our UK client facing staff in investment and private client management.

Responsibilities include but are not limited to:

  • First line supervision and oversight for regulated financial advisers, including competency assessment, training and pre-sales file checks
  • Assisting Investment Management teams with their own supervisory and annual T&C obligations, to include observed meetings for Team Leaders (“Supervision of Supervisors”)
  • Oversight of new adviser development plans and progression to Competent Adviser Status
  • Working alongside Business Management to define, implement and embed a single T&C scheme across investment Management and Financial Planning
  • Conduct relevant staff training and presentations to support the T&C scheme
  • Liaise with senior management on T&C performance metrics, risks and to input into Balanced Scorecards and annual appraisals.

Policies and Procedures

  • Strong knowledge of the regulatory environment and putting this into practice
  • Implement methods for monitoring and controlling T&C activities
  • Keep accurate and comprehensive records
  • Ensure processes are completed accurately and in a timely manner

Competence

  • Strong knowledge of regulatory requirements for competence
  • Oversee the procedures in place to measure competence and drive necessary changes
  • Support with continued professional development
  • Support with SPS, Fit and Proper standards, Continued Professional Development

Training and Development

  • Ensure T&D needs are identified and implemented procedures
  • Management of the Professional Development activities alongside HR/L&D

Regulatory

  • Demonstrate a good understanding of the regulatory framework

Supervision

  • For IM – Assist in the design and oversight of the supervisory requirements and assist Team Leaders with implementation
  • For FP – Directly support the financial planning advisers and maintain and oversee the supervision framework. To include observed meetings, pre-sales file checks, knowledge-source for questions around advice.

The ideal candidate will have:

  • Experience working in a similar regulated business
  • Demonstratable experience of T&C and oversight across Investment Management and Financial Planning businesses.
  • Strong people development skills, both technical and soft, to include coaching and mentoring
  • Confident and articulate in dealing with a wide range of client-facing professionals
  • Excellent written and verbal communication skills
  • Experience of writing and implementing T&C schemes and suitability procedures in large companies

About Brooks Macdonald

We’re a dynamic, ambitious wealth management firm, employing around 450 people across the UK and Channel Islands. We offer fulfilling careers in an inclusive culture that values diversity, ambition and rewards high performance.

Our values (we call them our guiding principles) underpin our culture and are at the heart of everything we do:

  • we do the right thing
  • we are connected
  • we care
  • we make a difference

We welcome talented people from all backgrounds who live and breathe our guiding principles and are focused on making a difference for our clients. We value different ways of working and actively promote flexible working across our business. As a principle, our people are able to spend up to 50% of their time working remotely.

We’re committed to promoting equal employment opportunities and positively encourage applications from suitably qualified candidates regardless of race, religion or belief, sexuality, age, disability, gender, gender identity, marital status or pregnancy and maternity.