Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead and develop Junior Advisors while ensuring compliance with FCA standards.
- Company: Join a well-established Wealth Management firm focused on financial planning and investment portfolios.
- Benefits: Enjoy a competitive salary, professional development opportunities, and a supportive work environment.
- Why this job: Make a real impact by shaping the future of aspiring financial advisors in a dynamic industry.
- Qualifications: Must have Level 4 Diploma in Financial Planning or equivalent, plus experience in T&C or supervisory roles.
- Other info: This is a 12-month fixed-term contract based in the vibrant City of London.
The predicted salary is between 36000 - 60000 £ per year.
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 develops Junior Advisors. The T&C Manager will 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 by the business. The T&C Manager will oversee the end-to-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.
T & C Manager , Financial Advice , CPD/SPS , 12M FTC in City of London employer: JJ Search Ltd
Contact Detail:
JJ Search Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land T & C Manager , Financial Advice , CPD/SPS , 12M FTC in City of London
✨Tip Number 1
Network with professionals in the Wealth Management sector. Attend industry events, webinars, or local meetups to connect with current T&C Managers or Financial Advisors. This can provide you with insights into the role and potentially lead to referrals.
✨Tip Number 2
Stay updated on FCA regulations and compliance standards. Subscribe to relevant newsletters or follow regulatory bodies on social media to ensure you're aware of any changes that could impact the role of a T&C Manager.
✨Tip Number 3
Showcase your coaching and mentoring skills through practical examples. Prepare to discuss specific instances where you've successfully guided junior advisors or improved team performance during interviews.
✨Tip Number 4
Familiarise yourself with the latest trends in financial advice processes and best practices. This knowledge will not only help you in interviews but also demonstrate your commitment to professional development in the field.
We think you need these skills to ace T & C Manager , Financial Advice , CPD/SPS , 12M FTC in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in T&C or supervisory roles, particularly in the Wealth Management sector. Emphasise any relevant qualifications like the Level 4 Diploma in Financial Planning and your understanding of FCA standards.
Craft a Compelling Cover Letter: In your cover letter, demonstrate your coaching and mentoring abilities. Provide specific examples of how you've motivated and supported advisors in the past, and explain how you can contribute to the development of Junior Advisors in this role.
Showcase Regulatory Knowledge: Clearly outline your expertise in regulatory compliance and FCA standards in both your CV and cover letter. Mention any specific experiences where you ensured compliance within a financial advice context.
Highlight Communication Skills: Since excellent communication and interpersonal skills are crucial for this role, include examples in your application that showcase your ability to influence and guide others effectively. This could be through previous roles or specific projects.
How to prepare for a job interview at JJ Search Ltd
✨Showcase Your Coaching Skills
As a T&C Manager, your ability to coach and mentor is crucial. Prepare examples of how you've successfully developed junior advisors in the past, highlighting specific techniques you used to motivate and support them.
✨Demonstrate Regulatory Knowledge
Familiarise yourself with FCA standards and compliance requirements. Be ready to discuss how you've ensured adherence to these regulations in previous roles, as this will show your understanding of the industry's obligations.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world situations. Think of scenarios where you had to handle compliance issues or mentor an underperforming advisor, and outline your approach and the outcomes.
✨Communicate Effectively
Strong communication skills are essential for this role. Practice articulating your thoughts clearly and confidently, especially when discussing complex financial concepts or regulatory matters, to demonstrate your interpersonal abilities.
