T&C Manager

1 month ago

London, United Kingdom Raymond James Investment Services Full time
Job Description

Who we are?

Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades.


Who we are looking for?

We are looking to recruit an experienced T&C Manager to join our branch supervision team. You will be responsible for the Training and Competence (T&C) framework, related policy and procedures, and for the oversight of the supervisory arrangements for regulated staff across our branch network. The role will require you to ensure that the T&C Schemes are communicated to all staff who undertake regulated activities and work with managers to embed appropriate training, oversight and development to maintain ongoing competence in all areas.


Responsibilities

  • Responsible for supervising Independent Contracting and Professional Partner registered wealth managers/financial advisers who are authorised with the FCA under RJIS’ authorisation
  • Input and advise in any decision to add a new Branch or wealth manager/adviser as well as having powers to enforce disciplinary actions. Recommend termination of agreements in conjunction with CEO/Head of Compliance and Legal
  • Build positive and constructive relationships with branch principals and their key staff
  • Carry out and evidence appropriate supervision of the branches in accordance with regulatory and RJIS requirements and take corrective action where necessary
  • Will make regular visits to Branches to address T&C and business development issues as well as ensuring that Branches understand that while a branch may be independent in business style, structure and management, they must be UK law, FCA and RJIS compliant
  • Maintain and develop the T&C Scheme to achieve regulatory requirements and business Complete RJIS T&C assessments in accordance with the T&C Scheme
  • Monitor professional qualifications to ensure all Certified persons achieve and maintain minimum regulatory standards
  • Create and deliver training for branch staff on regulatory matters and changes in RJIS policy and procedures
  • Approve and supervise any increases in wealth manager/financial adviser personal activities within a branch
  • Work with Branches and Compliance to resolve query / complaint issues
  • Where appropriate escalate issues to Head of Compliance & Legal and work together to develop appropriate responses and resolutions
  • Assist in the development of best practice in the branches and share where it is appropriate to do so
  • Work with Branch Auditor and help Branch Principal(s) with any remedial action arising from branch audits, setting standards, deadlines and working with branch following through to completion



Requirements

  • Experience and Knowledge of the following: UK Regulation for FCA authorised securities and financial planning firms including a good knowledge of the FCA Handbook
  • IMC, Securities Diploma or full FPC qualified or relevant practical experience
  • Working knowledge of retail Investment Management firms
  • Commercial experience preferred
  • Working knowledge of Word and Excel
  • Excellent communications skills, both verbal and written
  • Strong coaching and development skills
  • Good decision making ability
  • Sound organisational skills and eye for detail
  • Ability to multi-task, prioritise and achieve objectives
  • Results orientated and goal focussed
  • Able to travel throughout the UK



Benefits

  • 25-days of annual leave + bank holidays + holiday increases each year, to a max of 30
  • Established hybrid working policy and openness to flexible working
  • Generous pension contributions
  • Private medical healthcare
  • Discounted Gym Membership
  • Life, Dental & Travel insurance





Raymond James is an equal opportunities employer and welcomes applications from a diverse background


At Raymond James we honour, value and respect the uniqueness, experiences, and backgrounds of all our Associates. When associates bring their best authentic self to work, our organisation, clients, and communities thrive. This is a key part of our people-first culture. The Company is an equal opportunities employer and makes all employment decisions on the basis of merit and business needs.

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