Redmayne Bentley LLP
T&C Supervisor (Stockbroking)
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About the Role
We are looking for a motivated and analytical T&C Supervisor to join our Training & Competence team and support the ongoing development of supervision standards across our Stockbroking and Dealing business. The role offers the opportunity to work closely with experienced Stockbrokers, Dealers and senior stakeholders, helping to ensure competence, capability and conduct standards remain aligned to regulatory expectations and positive client outcomes.
Working within a regulated wealth management environment, you will play an important role in delivering the firm's Training & Competence Scheme, supporting colleagues through all stages of their development while contributing to the continued enhancement of our Stockbroking Supervision Framework and Stockbroking Service Review.
This is an excellent opportunity for someone with Stockbroking, Dealing, Risk, Compliance or Training & Competence experience who is looking to develop their career in a specialist supervisory role with exposure to senior management, regulatory oversight and business-wide improvement initiatives.
What You’ll be Doing
You will support the effective operation of the firm's Training & Competence Scheme and help ensure Stockbrokers and Dealers maintain the standards required under FCA regulations and Consumer Duty requirements.
Key responsibilities will include:
- Undertaking supervisory observations, reviews and competency assessments.
- Supporting the ongoing development of the Stockbroking Service Review framework.
- Analysing data and management information to identify emerging risks, trends and client outcome concerns.
- Developing supervisory management information, dashboards and reporting.
- Working with business leaders to identify supervisory themes and appropriate actions.
- Supporting the development of competency standards, CPD activity and learning interventions.
- Participating in branch visits, coaching discussions and supervisory reviews.
- Escalating competency, conduct and client outcome concerns where appropriate.
- Contributing to Consumer Duty oversight and regulatory reporting activities.
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What We Are Looking For
We're looking for an individual with strong Stockbroking and investment services knowledge who enjoys working with people, analysing information and supporting professional development.
Essential
- Strong understanding of Stockbroking, Dealing and investment execution activities.
- Experience working within a regulated investment or wealth management environment.
- Understanding of FCA Training & Competence requirements.
- Ability to analyse data and identify trends, risks and supervisory themes.
- Strong coaching, communication and stakeholder management skills.
Desirable
- Previous T&C, Compliance Monitoring, Risk or Supervisory experience.
- Knowledge of Consumer Duty requirements and client outcome monitoring.
- Experience developing management information and supervisory frameworks.
- Experience supporting or designing competency assessment processes.
- Knowledge of suitability, execution-only and advisory investment services.
QUALIFICATIONS
- Level 4 CISI Investment Advice Diploma or equivalent qualification.
Skills & Behaviours
We're looking for someone who is:
- Regulatory & Risk Focused - able to interpret and apply FCA requirements and regulatory expectations.
- Analytical & Insight Driven - confident using data and management information to identify trends and areas for improvement.
- Coaching & Development Focused - committed to supporting competence, capability and professional growth.
- Constructive & Influential - able to provide effective challenge and feedback while maintaining strong working relationships.
- Organised & Delivery Focused - capable of managing multiple priorities and delivering high-quality outcomes.
- Professional & Credible - demonstrates sound judgement, integrity and discretion in all aspects of their work.
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We also expect all candidates to demonstrate our core values of Excellence, Integrity, Respect, Responsibility and Teamwork.
Who we are
At Redmayne Bentley, our goal is to provide excellent personal investment services that enhance clients’ wealth.
It is an exciting time to be part of our firm, having recently launched our new five-year business plan to improve, grow and accelerate. We will achieve this through seeking operational and productivity improvements, growing the investment management and financial planning services, leveraging and protecting existing income lines and considering new acquisition opportunities.
As one of the UK’s largest independent investment management and stockbroking firms, we are committed to building a modern and diverse workplace where our people are offered unique opportunities to learn, grow and develop across the financial sector.
Our friendly, inclusive and collaborative environment rewards hard work with generous perks and benefits, and we are genuinely committed to your wellbeing through our industry commended &You wellbeing framework.
Our future looks more exciting than ever, come and share it with us.
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