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- Tasks: Supervise and support financial advisers, ensuring compliance and enhancing their skills.
- Company: Join a leading wealth management firm focused on tailored financial solutions.
- Benefits: Enjoy a competitive salary and opportunities for professional development.
- Why this job: Be part of a culture that values ethical advice and continuous learning.
- Qualifications: Must have a Level 4 Diploma in Financial Planning and relevant supervisory experience.
- Other info: High volume of applications; only shortlisted candidates will be contacted.
The predicted salary is between 36000 - 60000 £ per year.
Our client, a leading wealth management firm dedicated to delivering tailored financial solutions and exceptional service to their clients, are looking for a T&C Supervisor to join their team and play a key role in upholding and enhancing the quality and capability of their adviser population.
The T&C Supervisor will be responsible for supporting the development, supervision, and ongoing competence of their financial advisers. You’ll ensure regulatory standards are met while fostering a culture of professional excellence. This role is central to maintaining the integrity and effectiveness of their advice model through proactive supervision and structured training.
Role & Responsibilities:
- Supervise and support a portfolio of advisers in line with the firm’s T&C scheme and FCA requirements.
- Conduct observations, one-to-one coaching, and formal assessments of advisers.
- Monitor Key Performance Indicators (KPIs) and risk indicators to identify training needs or areas requiring development.
- Lead induction training for new advisers and provide ongoing development support.
- Collaborate with Compliance, Risk, and Learning & Development teams to ensure robust governance and continuous improvement of the T&C framework.
- Provide regular MI reporting and contribute to internal audit and regulatory reviews.
- Promote a culture of ethical advice and continuous learning across the adviser community.
Do you have the following to apply?
- Level 4 Diploma in Financial Planning (or equivalent) - essential.
- Proven experience in a T&C, compliance, or supervisory role within wealth management or financial advice.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Training and Competence Supervisor employer: Clayton Davies Ltd
Contact Detail:
Clayton Davies Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Training and Competence Supervisor
✨Tip Number 1
Network with professionals in the wealth management sector. Attend industry events or join relevant online forums to connect with current T&C Supervisors or those in similar roles. This can provide you with insights into the role and potentially lead to referrals.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations and compliance standards. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to maintaining high professional standards during interviews.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully supervised or trained advisers in the past. Highlighting your experience with KPIs and performance monitoring will show that you understand the key responsibilities of the role.
✨Tip Number 4
Research the company culture and values of the firm you're applying to. Tailor your conversations during interviews to reflect how your personal values align with theirs, especially regarding ethical advice and continuous learning.
We think you need these skills to ace Training and Competence Supervisor
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Training and Competence Supervisor. Familiarise yourself with the key tasks mentioned in the job description, such as supervising advisers and conducting assessments.
Tailor Your CV: Customise your CV to highlight relevant experience in T&C, compliance, or supervisory roles within wealth management. Emphasise your Level 4 Diploma in Financial Planning and any specific achievements that demonstrate your capability in this area.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for training and development in the financial sector. Mention how your skills align with the company's goals and your commitment to fostering a culture of professional excellence.
Proofread Your Application: Before submitting, carefully proofread your application materials. Check for spelling and grammatical errors, and ensure that all information is clear and concise. A polished application reflects your attention to detail.
How to prepare for a job interview at Clayton Davies Ltd
✨Know Your Regulatory Standards
Familiarise yourself with the FCA requirements and the firm's T&C scheme. Being able to discuss how you ensure compliance and uphold regulatory standards will demonstrate your understanding of the role's responsibilities.
✨Showcase Your Coaching Skills
Prepare examples of how you've successfully coached or supervised advisers in the past. Highlight specific instances where your guidance led to improved performance or compliance, as this is a key aspect of the role.
✨Understand Key Performance Indicators
Be ready to discuss how you monitor KPIs and identify training needs. Showing that you can analyse performance data and implement effective training solutions will set you apart from other candidates.
✨Emphasise Continuous Learning
Talk about your commitment to professional development and how you promote a culture of continuous learning. This aligns with the firm's values and shows that you are proactive in enhancing the skills of advisers.
