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For Companies At a Glance
- Tasks: Guide Trainee and Junior Advisers through their development journey in financial advice.
- Company: Join Amicus Wealth Management, a leader in the Wealth Management industry.
- Benefits: Enjoy a supportive environment with opportunities for professional growth and development.
- Why this job: Make a real impact by shaping future financial advisers and ensuring compliance.
- Qualifications: Experience in coaching financial advisers and knowledge of FCA T&C requirements is essential.
- Other info: This is a 12-month fixed-term contract with potential for future opportunities.
The predicted salary is between 36000 - 60000 £ per year.
The Business Manager / Training & Competence (T&C) Manager will play a dual role in ensuring that Trainee Advisers and Junior Advisers progress successfully through their development journey within Amicus Wealth Management. This includes regulatory oversight, soft skills coaching, and business management guidance to ensure they are well-prepared for a successful career in Financial Advice.
This role will focus on:
- Ensuring all Trainees and junior advisers meet FCA Training & Competence (T&C) requirements, complete their qualifications, CPD, SPS, and licensing milestones, and are competent to provide advice.
- Supporting individuals with client interaction, sales confidence, business development, and professional communication.
- Helping them understand how to build a sustainable and compliant advice business, with strong commercial awareness, strategic planning, and client relationship management.
- Ensuring Advisers are held accountable for their development, tracking their progress against competency milestones, and ensuring they receive the right coaching, support, and supervision to become high-performing professionals.
- Ensuring the trainees are performing to the levels required within 7IM’s Conduct Risk Scorecard.
This role is essential in ensuring that Trainee Advisers and Junior Advisers transition smoothly from learning into independent, fully competent professionals, while also maintaining regulatory compliance and business effectiveness.
Responsibilities
- T&C Oversight: Oversee the end-to-end development journey for Trainee Advisers and Junior Advisers, ensuring they meet FCA competency standards. Conduct regular observations, competency assessments, and structured feedback sessions. Track and ensure completion of qualifications, CPD, SPS renewal, and licensing requirements. Provide detailed compliance support to ensure that advisers operate within regulatory guidelines and best practices. Ensure the trainees are performing to the levels required within 7IM’s Conduct Risk Scorecard and proactively managing any issues as they arise. Maintain clear audit trails and documentation of all T&C-related activity.
- Soft Skill & Coaching: Develop and deliver coaching sessions on key client-facing skills, including relationship building, sales techniques, and effective communication. Support Advisers in building confidence in client meetings, handling objections, and improving client engagement strategies. Provide mentoring and one-to-one coaching to ensure advisers develop a strong professional mindset and work ethic.
About You
Knowledge
- Good understanding of the Wealth Management Industry, including understanding of investment & financial planning products and industry best practices.
- Strong understanding of FCA T&C requirements and regulatory expectations.
- Experience in coaching and developing Financial Advisers, particularly at Trainee or Junior Adviser level.
- In-depth knowledge of financial advice processes, regulatory obligations, and best practices.
- Familiarity with CPD, SPS renewal, and exam pathways for financial advisers.
- Commercial awareness and understanding of how to build a successful financial advice business.
Qualifications
- Supervisory qualification (e.g., J07, AF6, or equivalent) is desirable.
- Coaching or mentoring qualification is also desirable.
Skills
- Strong coaching and mentoring abilities; ability to motivate, support, and challenge Advisers in a constructive way.
- Excellent communication and interpersonal skills; capable of influencing and guiding junior Advisers effectively.
- Commercial acumen; ability to help advisers understand business management principles and revenue generation.
- Regulatory & compliance expertise; ability to ensure Advisers meet FCA standards and operate compliantly.
- Data-driven approach; ability to track and analyse Adviser progress using key competency metrics and development plans.
- Ability to build relationships across all business functions to ensure the Trainee and Junior Advisers are receiving clear and aligned messaging.
Other relevant information
Reports into Head of Private Client Support & Operations.
Business Manager / Training & Competence Manager (12 month Fixed Term Contract) employer: Seven Investment Management LLP
Contact Detail:
Seven Investment Management LLP Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Business Manager / Training & Competence Manager (12 month Fixed Term Contract)
✨Tip Number 1
Familiarise yourself with the FCA Training & Competence requirements. Understanding these regulations will not only help you in the interview but also demonstrate your commitment to compliance and professional development.
✨Tip Number 2
Showcase your coaching and mentoring experience. Be prepared to discuss specific examples of how you've successfully developed others, particularly in a financial advice context, as this is crucial for the role.
✨Tip Number 3
Highlight your commercial awareness. Discuss how you can help Trainee and Junior Advisers build a sustainable business, as this aligns with the responsibilities of the role and shows your understanding of the industry.
✨Tip Number 4
Prepare to discuss your approach to tracking and analysing adviser progress. Being data-driven is essential for this role, so think about how you would implement metrics to ensure advisers meet their competency milestones.
We think you need these skills to ace Business Manager / Training & Competence Manager (12 month Fixed Term Contract)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in coaching and developing financial advisers. Emphasise your understanding of FCA T&C requirements and any supervisory qualifications you hold.
Craft a Compelling Cover Letter: In your cover letter, explain why you're passionate about the Wealth Management industry and how your skills align with the responsibilities of the Business Manager / T&C Manager role. Use specific examples to demonstrate your coaching abilities and regulatory knowledge.
Showcase Relevant Skills: Highlight your soft skills, such as communication and interpersonal abilities, in both your CV and cover letter. Mention any experience you have in mentoring or coaching junior advisers, as this is crucial for the role.
Proofread and Edit: Before submitting your application, carefully proofread your documents for any spelling or grammatical errors. A polished application reflects your attention to detail and professionalism, which are essential in the financial advice sector.
How to prepare for a job interview at Seven Investment Management LLP
✨Showcase Your Coaching Experience
Make sure to highlight any previous experience you have in coaching or mentoring, especially within the financial services sector. Be prepared to discuss specific examples of how you've helped Trainee or Junior Advisers develop their skills and confidence.
✨Demonstrate Regulatory Knowledge
Familiarise yourself with FCA Training & Competence requirements and be ready to discuss how you would ensure compliance in your role. Showing a strong understanding of regulatory expectations will demonstrate your capability to manage T&C effectively.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills and ability to handle real-life situations. Think of scenarios where you had to provide feedback or support to an Adviser, and how you approached those situations to achieve positive outcomes.
✨Emphasise Commercial Awareness
Be ready to discuss how you can help Advisers build a sustainable business. Share insights on commercial acumen and strategic planning, and how these elements contribute to successful client relationship management in the wealth management industry.
