T&C Manager

Training & Competence Manager

London (Hybrid) £70,000 – £80,000 plus bonus and benefits

We are working with a highly regarded UK investment management firm to recruit a Training & Competence Manager to support their Private Wealth business from their London office.

Our client is an independent investment manager offering a range of investment solutions to individuals, trusts and corporations, including multi-asset portfolios, individual funds and thematic products. The firm is well known for its focus on innovation and its use of technology to give clients a modern, personalised investment experience.

THE ROLE

This is a hands-on role owning the practical delivery of the Training & Competence framework. You will run the day-to-day T&C activity for Advisers and other regulated and client-facing roles, carry out the competence assessments yourself, keep the records straight and deliver the feedback - working closely with Private Wealth, Compliance and People to keep standards consistent across advice and professional development.

The assessment side is genuinely practical rather than desk-based. It covers role plays, live and recorded observations of client meetings, product and knowledge testing, CPD log reviews, and the evidence behind initial and ongoing competence, feeding into FCA Certification sign-off and the annual SM&CR certification process.

KEY RESPONSIBILITIES

• Support the day-to-day delivery of the Training & Competence framework, keeping it practical, timely and aligned to the business

• Apply regulatory and internal T&C requirements in practice so the business can evidence that Advisers and Certified Persons remain competent

• Design, deliver and manage training for Advisers, managers and colleagues in regulated or client-facing roles

• Work with Private Wealth, Compliance, People and external providers to build training content that addresses real adviser development needs

• Carry out regular competence assessments, including role plays, observations of client meetings, product testing and knowledge assessments

• Assess the initial and ongoing competence of new and existing Advisers, documenting outcomes to support FCA Certification sign-off

• Provide clear verbal and written feedback to Advisers and managers, with actions recorded and followed up in individual T&C files and scorecards

• Develop and run Adviser Improvement Plans where suitability scores, knowledge gaps or other competence concerns arise, including support on file construction and difficult client interactions

• Maintain accurate T&C records, using the data and MI to identify themes, gaps, trends and overdue actions across the adviser population

• Support the annual SM&CR certification process alongside the Head of People, Private Wealth and Compliance Managers

WHO THIS WILL SUIT

This role will suit someone already delivering T&C within a regulated advice or private wealth business, or a supervisor or experienced adviser looking to move fully into competence and development.

• Level 4 CII or CISI RDR qualification (essential)

• A supervision qualification is useful but not essential

• Experience of mortgages and protection is useful but not essential

THE PACKAGE

• Basic salary of £70,000 to £80,000

• Discretionary bonus

• Private health insurance

• Death in service

• Income protection

• Pension - 6% employer contribution, or 8% employer with 2% employee

• 25 days’ holiday

• Hybrid working, with flexibility to split your time between home and the London office