At a Glance
- Tasks: Support the development of supervision standards in Stockbroking and Dealing.
- Company: Join one of the UK's largest independent investment management firms.
- Benefits: Enjoy a competitive salary, private medical insurance, and hybrid working options.
- Other info: Be part of a friendly, inclusive team with excellent career growth opportunities.
- Why this job: Make a real impact on professional development and client outcomes in a dynamic environment.
- Qualifications: Experience in Stockbroking, Dealing, or Compliance is essential.
The predicted salary is between 40500 - 49500 £ per year.
We are looking for a motivated and analytical T&C Supervisor to join our Training & Competence team and support the ongoing development of supervision standards across our Stockbroking and Dealing business.
The role offers the opportunity to work closely with experienced Stockbrokers, Dealers and senior stakeholders, helping to ensure competence, capability and conduct standards remain aligned to regulatory expectations and positive client outcomes.
Working within a regulated wealth management environment, you will play an important role in delivering the firm's Training & Competence Scheme, supporting colleagues through all stages of their development while contributing to the continued enhancement of our Stockbroking Supervision Framework and Stockbroking Service Review.
This is an excellent opportunity for someone with Stockbroking, Dealing, Risk, Compliance or Training & Competence experience who is looking to develop their career in a specialist supervisory role with exposure to senior management, regulatory oversight and business-wide improvement initiatives.
What You’ll be Doing You will support the effective operation of the firm's Training & Competence Scheme and help ensure Stockbrokers and Dealers maintain the standards required under FCA regulations and Consumer Duty requirements.
Key responsibilities will include
- Undertaking supervisory observations, reviews and competency assessments.
- Supporting the ongoing development of the Stockbroking Service Review framework.
- Analysing data and management information to identify emerging risks, trends and client outcome concerns.
- Developing supervisory management information, dashboards and reporting.
- Working with business leaders to identify supervisory themes and appropriate actions.
- Supporting the development of competency standards, CPD activity and learning interventions.
- Participating in branch visits, coaching discussions and supervisory reviews.
- Escalating competency, conduct and client outcome concerns where appropriate.
- Contributing to Consumer Duty oversight and regulatory reporting activities.
We also expect all candidates to demonstrate our core values of Excellence, Integrity, Respect, Responsibility and Teamwork.
We’re looking for an individual with strong Stockbroking and investment services knowledge who enjoys working with people, analysing information and supporting professional development.
Essential
- Strong understanding of Stockbroking, Dealing and investment execution activities.
- Experience working within a regulated investment or wealth management environment.
- Understanding of FCA Training & Competence requirements.
- Ability to analyse data and identify trends, risks and supervisory themes.
- Strong coaching, communication and stakeholder management skills.
Desirable
- Previous T&C, Compliance Monitoring, Risk or Supervisory experience.
- Knowledge of Consumer Duty requirements and client outcome monitoring.
- Experience developing management information and supervisory frameworks.
- Experience supporting or designing competency assessment processes.
- Knowledge of suitability, execution-only and advisory investment services.
Skills & Behaviours
- Regulatory & Risk Focused - able to interpret and apply FCA requirements and regulatory expectations.
- Analytical & Insight Driven - confident using data and management information to identify trends and areas for improvement.
- Coaching & Development Focused - committed to supporting competence, capability and professional growth.
- Constructive & Influential - able to provide effective challenge and feedback while maintaining strong working relationships.
- Organised & Delivery Focused - capable of managing multiple priorities and delivering high-quality outcomes.
- Professional & Credible - demonstrates sound judgement, integrity and discretion in all aspects of their work
At Redmayne Bentley, our goal is to provide excellent personal investment services that enhance clients' wealth.
It is an exciting time to be part of our firm, having recently launched our new five-year business plan to improve, grow and accelerate.
We will achieve this through seeking operational and productivity improvements, growing the investment management and financial planning services, leveraging and protecting existing income lines and considering new acquisition opportunities.
As one of the UK's largest independent investment management and stockbroking firms, we are committed to building a modern and diverse workplace where our people are offered unique opportunities to learn, grow and develop across the financial sector.
Our friendly, inclusive and collaborative environment rewards hard work with generous perks and benefits, and we are genuinely committed to your wellbeing through our industry commended &You wellbeing framework.
Our future looks more exciting than ever, come and share it with us.
Our Values
Our core values are at the heart of everything we do
- Our Benefits
- Pension Scheme
- Private Medical Insurance
- Employee Assistance Programme
- Travel Loans and Cycle to Work
- Reward and Recognition Schemes
- Hybrid Working Group
- Life Assurance
- Generous Family Leave Entitlements
- #J-18808-Ljbffr
T&C Supervisor (Stockbroking) in Leeds employer: Redmayne Bentley LLP
Redmayne Bentley LLP is an excellent employer, offering a dynamic work environment where collaboration and innovation thrive. With a strong focus on employee growth, you will have access to professional development opportunities while working alongside a dedicated team in the heart of the finance sector. The company's commitment to supplier governance and value for money ensures that your contributions will have a meaningful impact on the firm's success.
StudySmarter Expert Advice🤫
We think this is how you could land T&C Supervisor (Stockbroking) in Leeds
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
✨Connect on Professional Platforms
Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like Redmayne Bentley LLP. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace T&C Supervisor (Stockbroking) in Leeds
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to Redmayne Bentley LLP.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on Redmayne Bentley LLP's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at Redmayne Bentley LLP
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with Redmayne Bentley LLP.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at Redmayne Bentley LLP will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former Redmayne Bentley LLP employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
