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For Companies At a Glance
- Tasks: Oversee investment management professionals' competence and conduct assessments.
- Company: Join a reputable Wealth Management firm in the heart of London.
- Benefits: Enjoy a competitive salary, hybrid work options, and professional development opportunities.
- Why this job: Make a real impact by ensuring high standards in a dynamic financial environment.
- Qualifications: Relevant supervisory experience and qualifications in wealth management are essential.
- Other info: Collaborate with top professionals and contribute to regulatory compliance.
The predicted salary is between 46200 - 77000 £ per year.
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
Training & Competency Manager employer: Rev & Regs
Contact Detail:
Rev & Regs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Training & Competency Manager
✨Tip Number 1
Network with professionals in the wealth management sector, especially those who are already in T&C roles. Attend industry events or webinars to connect with potential colleagues and learn about their experiences.
✨Tip Number 2
Familiarise yourself with the latest regulations and standards related to T&C and SMCR. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to compliance during interviews.
✨Tip Number 3
Prepare to discuss specific examples of how you've previously assessed competence levels and addressed training needs. Highlighting your hands-on experience will show that you can effectively manage the responsibilities of the role.
✨Tip Number 4
Research the company culture and values of the firm you're applying to. Tailoring your conversation to align with their ethos during interviews can significantly increase your chances of landing the job.
We think you need these skills to ace Training & Competency Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant supervisory experience and qualifications, such as CII H15/AF6 or CISI Level 4. Emphasise your experience in T&C supervisory roles within wealth management to align with the job requirements.
Craft a Compelling Cover Letter: In your cover letter, explain why you are passionate about maintaining competence in investment management professionals. Mention specific examples of how you've previously ensured compliance with regulatory standards and developed training plans.
Highlight Data Utilisation Skills: Since the role involves using data around MI and KPIs, be sure to include any experience you have in assessing competence levels and addressing training needs through data analysis. This will demonstrate your analytical skills and relevance to the position.
Showcase Coaching Experience: Detail your experience in providing technical coaching and development. Include examples of how you've given consistent feedback to maintain high standards, as this is a key responsibility of the role.
How to prepare for a job interview at Rev & Regs
✨Understand the Regulatory Landscape
Familiarise yourself with the Financial Conduct Authority (FCA) regulations and the Senior Managers and Certification Regime (SMCR). Being able to discuss how these frameworks impact the role will show your depth of knowledge and commitment to compliance.
✨Demonstrate Your Coaching Skills
Prepare examples of how you've successfully coached or developed individuals in previous roles. Highlight specific instances where your feedback led to improved performance, as this is crucial for a Training & Competency Manager.
✨Showcase Your Analytical Abilities
Be ready to discuss how you have used data and KPIs to assess competence levels in the past. Providing concrete examples of how you've identified training needs through analysis will demonstrate your proactive approach.
✨Prepare for Scenario-Based Questions
Expect questions that require you to think on your feet, such as how you would handle a situation where an employee is not meeting conduct standards. Practising these scenarios can help you articulate your thought process and decision-making skills effectively.
