Description

If you’re looking to join an organisation that will give you the right opportunities and experience to develop your career, join Tilney Smith and Williamson.

We are seeking a talented individual to join our Training and Competence Team, to work in conjunction with the Training and Competence Manager and Policy Specialist in continuing to develop and support the T&C policies and procedures for Financial Planning. Support the Training and Competence Services Manager in the management and oversight of the Senior Managers & Certification Regime.

As T&C Manager your responsibilities will include:

  • Policies and procedures
    • Understand and maintain knowledge of the regulatory environment and translate the requirements into practical and effective T&C policy and procedures.
    • Implement methods for monitoring and controlling T&C activities.
    • Oversee the keeping of accurate and comprehensive records of T&C activities both centrally and within the business areas.
    • Ensure all regular monitoring and reporting processes are completed accurately and on time. Provide senior management with the appropriate information to allow them to manage people risk.
  • Senior Managers & Certification Regime (SM&CR)
    • Understand and maintain knowledge of the regulatory requirements related to the SM&CR and translate requirements into practical and effective SM&CR policy and procedures.
    • Oversee the certification activities necessary for all certified persons and ensure that these are completed in an accurate and timely manner and that team members are appropriately certified for the activities that they carry out
    • Manage internal and external data records including updates to internal HR systems and FCA directory updates
    • Assist with the management of the annual recertification process
    • Assist the Training & Competence Services Manager with oversight of the Senior Managers Regime including drafting of and updating relevant SMF documentation
    • Produce regular reports on competence and professional standards for the regulator, and within the timescales prescribed
  • Competence
    • Understand and maintain knowledge of the regulatory requirements for competence, communicating them in a manner to ensure the business understands the requirements.
    • Oversee the procedures supporting the measurement of competence within business areas ensuring that they are accurately and comprehensively carried out and that appropriate records are kept.
    • Support the business with continuing professional development and the achievement of professional qualifications and provide practical guidance regarding what is required.
    • Demonstrate a thorough understanding of and oversee the achievement of:
    • Statements of Professional Standing
    • Fit & proper standards
    • CPD requirements
    • In conjunction with HR and line management, ensure that any instances of under-performance are effectively managed.
  • Training & Development
    • Ensure training & development needs are appropriately identified. Implement practical and effective training solutions, measuring and reporting on the return on investment.
    • Manage the provision of appropriate continuing professional development activities via the CPD programme, ensuring that it is accessible to and meets the needs of all team members.
  • Regulatory
    • Demonstrate a thorough understanding of the regulatory framework and specifically the ability to apply the regulation pertaining to:
    • Financial crime/market abuse/data protection
    • Approved persons
    • Training & competence
    • Senior Manager/Certified Person Regime

Supervision

  • For IM, Settlement Ops and Corporate Finance:
    • Assist in the design of the supervision framework.
    • Design and deliver training sessions to ensure supervisors are clear on their key responsibilities and competent to carry out their role.
  • For FP:
    • Directly support the Financial Planning T&C Supervisor team providing quality and quantity reviews and directly supporting team manager span of controls
    • Maintain and oversee the supervision framework

As our colleague here at Tilney, Smith & Williamson you will have access to benefits that include:

  • Competitive salary
  • life assurance
  • Pension contribution
  • Interest free season ticket loan
  • Cycle to work scheme.

About Tilney Smith and Williamson

Tilney Smith & Williamson is the UK’s leading integrated wealth management and professional services group, created by the merger of Tilney and Smith & Williamson on 1 September 2020.

With £54.8 billion of assets under management (as of 30 June 2021), it ranks as the third largest UK wealth manager measured by revenues and the eighth largest professional services firm ranked by fee income. The Group currently operates through three principal brands: Tilney, Smith & Williamson, and online investment service Bestinvest. It has a network of 28 offices across the UK, as well as the Republic of Ireland and the Channel Islands. Through its operating companies, the Group offers an extensive range of financial and professional services to individuals, family trusts, professional intermediaries, charities, and businesses.

Tilney Smith & Williamson’s chosen purpose to “place the power of good advice into more hands” succinctly encapsulates the group’s central mission of supporting both individuals and businesses to achieve their goals.

In delivering its purpose, Tilney Smith & Williamson have set out three core values that it is committed to embedding in the culture of the business:

  • Personal — we treat you as an individual: We are a people business at heart and strive to deliver a friendly, inclusive, and personalised service to all of our clients, large and small.
  • Partnership — we go further together: We develop relationships that stand the test of time, spanning multiple generations. We partner across the full breadth of our expertise to create value for our clients, our company and society at large.
  • Performance — we strive for more: We are ambitious for our clients and for ourselves, so we aim to be a forward-thinking and innovative business that leads the way in the industry.

The Tilney Smith & Williamson Group recognises the benefits of a diverse workforce and is committed to treating all colleagues with dignity and respect regardless of race, gender, disability, age, sexual orientation, religion, or belief. At Tilney Smith & Williamson we are committed to equal opportunities in all aspects of our work.