T&C Supervisor (Financial Planning) in Leeds

Hours per Week	40
Work Pattern	8.00am – 5.00pm
Location	Leeds
Contract	Permanent
Hybrid Working	Available after 1 month (up to 2 days WFH per week)

To match the ambitious growth plans of our Financial Planning proposition, our Training & Competence team is expanding to support the growing regulatory requirements in this area.

We are looking for someone with the knowledge and vision to help build a scalable and consistent T&C framework that supports the recruitment, onboarding and development of our growing number of Financial Planners.

As the primary Training & Competence Supervisor for Financial Planning, you would be a key contributor to major initiatives in this area, such as:

• Analysing FP supervision and Service Review data to identify emerging suitability, conduct, competency and client outcome risks.
• Creation and development of supervisory MI, performance indicators, escalation criteria and reporting for Financial Planning.
• Establishing Financial Planning competency standards, learning pathways, CPD requirements and targeted learning interventions.
• Horizon scanning work with Financial Planning leaders & stakeholders to identify thematic risks, future development needs and targeted learning interventions.

Further specific details about the role and its responsibilities can be found in the job description attached to this advert.

What we’re looking for

Qualifications

Essential:

• Level 4 Diploma in Regulated Financial Planning, or an equivalent FCA-recognised qualification appropriate to retail investment advice.

Experience & Knowledge

Essential:

• Strong understanding of holistic Financial Planning and the delivery of regulated advice, including suitability and ongoing client servicing.
• Experience working within a regulated financial planning, investment or wealth management environment.
• Understanding of FCA Training & Competence requirements and the practical operation of a T&C Scheme.
• Prior experience reviewing advice, client files and management information to identify trends, risks and development needs.

Desirable:

• Previous T&C, Financial Planning supervision, Compliance Monitoring, Risk or file-review experience.
• Knowledge of Consumer Duty requirements, suitability standards and client outcome monitoring.
• Experience supporting the onboarding, development or sign-off of Financial Planners.
• Experience developing management information, competency assessments or scalable supervisory frameworks.
• Knowledge of Investment Management or Stockbroking services, or an interest in developing experience across these areas.

Skills & Behaviours

• Analytical - able to confidently identify root causes, assess weaknesses, and drive process improvements.
• Client & Outcome Focused– remains focused on delivering excellent client outcomes.
• Coaching Mindset – willing and able to share their knowledge and experience with colleagues.
• Collaborative – builds strong relationships with other teams and stakeholders.
• Effective Communicator – demonstrates excellent written and verbal communication skills.
• Proactive Problem Solver – Proactively looks for opportunities for continuous improvement
• Process & Detail Oriented - Proven ability to design and implement robust frameworks and governance.
• Professional Integrity & Credibility – willing and able to influence, and challenge effectively, colleagues across all levels of the firm
• Resilient & Adaptable – demonstrates sound judgement, effective prioritisation and high-quality outputs when faced with critical deadlines.

What does the future look like?

Once you are settled into the role, you will be able to take on more responsibility within the team and develop your skills and experience further through CPD and other development opportunities.

Although the role will be primarily focused on Financial Planning, the successful candidate will also have the opportunity to broaden their experience by supporting T&C activity across Investment Management and Stockbroking, in line with business priorities and their own development.

The role will provide scope for the successful candidate to develop increasing operational ownership across Financial Planning supervision, assessment and competence decisions as their experience and capability grow.

Redmayne Bentley provides support for colleagues to achieve industry standard qualifications, if that is something they wish to do.

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.