- 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
- 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
- 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
-
T&c Manager
6 days ago
MERJE Ltd London, United KingdomMERJE are delighted to be representing this reputable and very well established Investment Management company in their search for a T&C Manager. · **Key Responsibilities**: · Leading on their T&C initiatives, you will be responsible for providing oversight of the framework whilst ...
-
T&C Manager
1 week ago
Raymond James Investment Services Greater London, United KingdomJob 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 co ...
-
T&C Manager
1 week ago
Raymond James Investment Services London, United KingdomWho 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 ...
-
T&c - Training & Competency Supervisor
1 week ago
Arbuthnot Latham London, United Kingdom*** · **Job Purpose** · To be responsible for the ongoing supervision of regulated advisers and accountable for the implementation of the T&C policy within the Private Banking, Investment Management and Wealth Planning areas. · This shall include identifying the suitability of ad ...
-
T&c Sme
2 days ago
The Consulting Consortium Limted (TCC) City of London, United Kingdom**Job Title**: T&C Expert · **Start Date**: As soon as possible · **Duration**: 3 months · **Day Rate**: £350 (via umbrella) · **Location**: Remote with some field work · **The role**: · To deliver regulatory oversight to appointed representative firms and registered individuals ...
-
T&C Manager
1 week ago
AccorHotel London, United Kingdom Full timeJob Description · The Talent & Culture Manager is responsible for the management of the Hotel Talent & Culture function. It is the responsibility of the Talent & Culture Manager to ensure that the Talent and Culture strategies of the Hotel are aligned with both the Hotel and Comp ...
-
T&i Package Manager
1 day ago
Clarehill Associates London, United Kingdom**T&I Package Manager / Technical Lead Engineer - Offshore Wind - UK/ Europe** · **Transportation & Installation Package Manager/ Project Engineer/ Project Manager · - Offshore Wind Farms** · Opportunity for experienced engineer to play leading role in Project Management for T&I ...
-
Isg R&c Project Manager
1 hour ago
eFinancialCareers London, United Kingdom**Responsibilities**: · - Develops detailed IT work plans, schedules; project estimates, resource plans and status reports. · - Interfaces with senior project staff and client senior management teams regarding status of projects. · - Recommends and oversees process improvements. ...
-
eFinancialCareers London, United Kingdom**Salary**: £140,000 base + bonus + profit share · **Job Summary**: · Fantastic opportunity to join a leading multi-asset fund where you will draw on both your excellent academics and your strong programming skills. · Working closely with Quantitative Analysts and Software Develo ...
-
IS&T Category Manager
1 week ago
Sodexo London, United KingdomJob Type: Permanent Job Sector: Procurement Region: London Location: No fixed location Salary Description: Competitive Salary + excellent benefits package Posted: 11/04/2024 Recruiter: Sodexo Job Ref: SDX/TP/RF FY23-1/TS Job Views: 1 · Step into a world where your IT pr ...
-
IS&T Category Manager
1 week ago
Sodexo Group London, United KingdomStep into a world where your IT procurement expertise is not just valued, but pivotal in shaping the future of Sodexo services. As our IS&T Category Manager , you'll be at the heart of our Indirect procurement strategy, with a laser focus on Information Systems & Technology. · ...
-
IS&T Category Manager
1 week ago
Sodexo London, United Kingdom Permanent – Full timeJob Introduction · Step into a world where your IT procurement expertise is not just valued, but pivotal in shaping the future of Sodexo services. As our IS&T Category Manager , you'll be at the heart of our Indirect procurement strategy, with a laser focus on Information System ...
-
Endeavour Recruitment Solutions United KingdomC#, ASP.Net Developer with Strong SQL Server, ETL, T-SQL Skills · Country: Ireland · Location: Cork · Sector: Software Developer · Job Type: Contract · Technologies: C# aspnet SQL Server ETL TSQL · C#, ASP.Net Developer with Strong SQL Server, ETL, T-SQL Skills · Endeavour ...
-
T & I Package Manager
2 weeks ago
Momenta Group Global United KingdomWe are looking for an experienced operation manager to oversee the running and delivery of a financial services collections project. Responsible for inspiring, developing, coaching and formally appraising Operations Managers to set performance standards · Recognising achievement ...
-
D&T Change Manager
1 week ago
Limelight Solutions London, United KingdomYou'll be an SAP Change Manager with proven experience in delivering the change management function for major SAP transformation programmes – typically to large corporate customers. The SAP Change Manager will be responsible for ensuring that changes to organisations are effectiv ...
-
S&T Installation Manager
6 days ago
Ralph Recruitment England, United KingdomA fantastic opportunity for an experienced Installations Manager – FF&E to join our client, a leading furnishing, fit-out and service provider, delivering furnishing and fit out projects nationwide and across Europe. · A truly great organisation work for, forward thinking, innov ...
-
D&T Change Manager
6 days ago
Investigo Limited England, United KingdomI am currently looking for an experienced SAP Change Manager to join our end client on a permanent basis. · Stakeholder management at various levels (workstreams to the Programme Execs) · Part-ownership of various Governance and Project Management processes · MS Project Expert ...
-
Senior Business Manager\t
1 day ago
BDO LLP United KingdomBusiness Coordinator - Expatriate Tax page is loaded Business Coordinator - Expatriate Tax · Apply locations Birmingham Leeds Edinburgh time type Full time posted on Posted 2 Days Ago job requisition id R14659 Ideas | People | Trust · An accountancy and business advisory firm, ...
-
S&T Installation Manager
6 days ago
Project Start Recruitment United KingdomInstallation Manager (Commercial & Domestic Gas) · They have been providing buildings support to local authorities, social landlords, NHS trusts and private sector clients for over 40 years. they have a proven track record of delivering successful mechanical, electrical and secur ...
-
S&T Installation Manager
2 weeks ago
Major Recruitment Huddersfield United KingdomInstallations Manager · Are you an established Installations Manager? Worked within an installations role in a fast paced environment? Major Recruitment are seeking an experienced Installations Manager to join their team who's head office is based in Halifax · With a dedication ...
T&C Manager - Greater London, United Kingdom - Raymond James Investment Services
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
Requirements
Benefits
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.