Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead training and competency functions for financial advisers, ensuring compliance with regulations.
- Company: Dynamic investment management firm focused on professional development.
- Benefits: Full-time role with competitive salary and opportunities for growth.
- Why this job: Make a real impact by shaping the skills of financial professionals.
- Qualifications: Level 4 Diploma in Regulated Financial Planning and experience in the industry.
- Other info: Collaborative environment with a focus on continuous learning and compliance.
The predicted salary is between 36000 - 60000 £ per year.
Overview
To lead the T&C function while supporting the line management of Financial Planners, Mortgage Advisers, Employee Benefit Consultants, including Appointed Representatives (advisers), within the Group to deliver training and monitor competency in line with FCA regulations and the company’s T&C Scheme.
Key Responsibilities
- Ensure internal policies and FCA regulatory requirements are adhered to across the Group.
- Adhere to Company T&C Scheme.
- Management of T&C Supervisors, ensuring the Group complies with the best business practices and regulatory requirements.
- Oversee the T&C of regulated and other individuals within the Group, ensuring compliance with business practices and regulatory requirements.
- Work with Compliance, Business Quality, Regional Sales Directors, HR, and other departments to ensure consistent training and monitoring of the advice process.
- Maintain, update, and review T&C records and processes to ensure accuracy and compliance.
- Support line management in supervising Financial Planners, Mortgage Advisers, and Corporate Financial Planners through observed meetings, 1-2-1 development sessions, coaching, and feedback.
- Agree on, implement and deliver training plans for advisers across the Group, and deliver and/or arrange training sessions in both group settings and individually.
Experience & Qualifications
- Minimum level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)
- Working knowledge of FCA Principles and Rules.
- Good working knowledge of Microsoft Office products including Word, Excel, Outlook and PowerPoint.
- Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry.
Seniority level
- Not Applicable
Employment type
- Full-time
Job function
- Finance
Industries
- Investment Management
#J-18808-Ljbffr
T&C Manager employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land T&C Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars where you can meet potential employers and showcase your expertise in T&C management.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and company policies. We want you to be able to discuss how you can ensure compliance and improve training processes confidently.
✨Tip Number 3
Showcase your experience with real-life examples during interviews. Talk about how you've successfully managed T&C functions or improved training plans in previous roles. This will help you stand out!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace T&C Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the T&C Manager role. Highlight your experience in training and compliance, and don’t forget to mention your knowledge of FCA regulations. We want to see how you can bring your skills to our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the role. Share specific examples of how you've managed T&C functions or supported line management in the past. Let us know what makes you tick!
Showcase Your Qualifications: Don’t forget to mention your qualifications, especially your level 4 Diploma in Regulated Financial Planning. We’re looking for someone with solid credentials, so make sure they stand out in your application!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and keep track of it. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you brush up on FCA regulations and the company’s T&C Scheme before the interview. Being able to discuss how these regulations impact the role will show that you’re not just familiar with the basics, but that you understand their importance in the financial planning landscape.
✨Showcase Your Training Skills
Prepare examples of how you've successfully delivered training or coaching in previous roles. Highlight specific training plans you've implemented and the outcomes achieved. This will demonstrate your ability to lead and develop others, which is crucial for the T&C Manager position.
✨Familiarise Yourself with the Company
Research the company’s values, culture, and recent developments. Understanding their approach to compliance and training will help you tailor your responses and show that you’re genuinely interested in being part of their team.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills and decision-making abilities. Think about past experiences where you had to ensure compliance or manage a team effectively, and be ready to discuss how you handled those situations.
