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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
Familiarise yourself with the latest regulations and standards in wealth management, particularly those related to T&C schemes and SMCR requirements. This knowledge will not only help you during interviews but also demonstrate your commitment to maintaining compliance.
✨Tip Number 2
Network with professionals in the wealth management sector, especially those who are already in T&C roles. Engaging in conversations about their experiences can provide valuable insights and may even lead to referrals for the position.
✨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 set you apart from other candidates.
✨Tip Number 4
Stay updated on industry trends and best practices in training and competency management. Being able to speak knowledgeably about current developments will show that you're proactive and dedicated to continuous improvement.
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.
Showcase Your Analytical Skills: Demonstrate your ability to utilise data around MI and KPIs in your application. Provide examples of how you've assessed competence levels and addressed training needs in past roles, showcasing your analytical skills.
Highlight Collaboration Experience: Since the role involves working with Compliance, HR, and Business Assurance, mention any previous experiences where you successfully collaborated with different departments to uphold regulatory standards and improve training outcomes.
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 to assess competence levels and identify training needs. Providing concrete examples of how you've utilised MI and KPIs in past roles will demonstrate your analytical skills and strategic thinking.
✨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 responses to these scenarios can help you articulate your thought process clearly during the interview.
