T & C Partner

Posted 15 Hours Ago
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Leicester, Leicestershire, England, GBR
In-Office
Entry level
Fintech • Payments • Financial Services
The Role
Owns day-to-day delivery of the Training and Competence scheme across the Wealth Division. Responsibilities include supporting supervision, coordinating audits, maintaining regulatory records, managing Fit and Proper certification and SPS tracking, producing CPD and management information reports, supporting training, improving processes, and liaising with senior stakeholders, systems teams, and LMS providers. The role ensures compliance with FCA SYSC, SM&CR, and Certified Person obligations.
Summary Generated by Built In

THE OPPORTUNITY

This hands-on, delivery-focused role sits at the heart of the Mattioli Woods Training & Competence scheme. Ideally, we are looking for someone with a background in compliance or T&C who takes pride in maintaining the operational integrity of our regulatory framework and supporting the development of our adviser population.

As a T&C Partner, you will own the day-to-day delivery of the T&C scheme across the Wealth Division, working closely with T&C Supervisors, Wealth Management Directors, Compliance and the Group T&C Officer to ensure every component of the scheme is delivered to the highest standard, in full compliance with FCA SYSC requirements and SM&CR obligations across the Group.

INSIGHT INTO WHAT YOU'LL BE DOING

Scheme oversight and supervision support

  • Aligned to regions you will be the main point of contact for any queries or support regarding Training & Competence
  • Supporting T&C Supervisors, you will help with the monitoring of observation completion and targets, ensuring forms are completed accurately and on time.
  • Co-ordinating internal audits, producing analysis and delivering MI reporting to line management
  • Maintaining comprehensive T&C records for all consultants — including observation forms, PDPs, audit feedback and one-to-one documentation
  • Managing the upkeep of the Training & Competence hub

Systems and Process

  • Partner with People and Systems to ensure systems are used effectively and to their full potential.
  • Review processes to improve efficiency through digitalisation, AI and technology.
  • Ensure processes are documented, reviewed and updated on an annual basis.

Certification and compliance processes

  • Managing the initial and annual Fit and Proper certification process for all certified individuals via MW Education and Workday
  • Maintaining the central SPS record, including renewal tracking and regulated activity auditing to ensure no lapses in certification
  • Supporting annual diagnostic assessments and taking ownership of the process from approval through to results analysis

CPD and training

  • Producing monthly CPD reporting, managing bulk uploads and delivering CPD audits across at least 20% of consultant records
  • Working with senior management to support the delivery of internal and external training needs
  • Contributing to the MW Way professional skills programme alongside the T&C Officer and Managing Director of Wealth

Reporting and stakeholder engagement

  • Preparing scheme MI reports and contributing to board packs for Wealth Management Directors and the executive team
  • Acting as a key liaison with LMS providers and the People and Systems team
  • Supporting the integration of newly acquired businesses into the T&C framework
  • Helping to produce Training and Competence content such as Newsletters

WHAT WE'RE LOOKING FOR

This role suits a detail-oriented, self-starting professional who can manage multiple regulatory processes simultaneously and communicate confidently with senior stakeholders.

To be considered, applicants should demonstrate:

  • Ideally have experience working within a T&C or regulatory compliance function in a wealth management or financial services environment
  • Good working knowledge of FCA SYSC T&C rules, SM&CR and Certified Person obligations
  • Experience producing MI and reporting for senior or governance-level audiences
  • High attention to detail with the ability to maintain accuracy across multiple concurrent processes
  • Clear and confident communication with stakeholders at all levels
  • Analytical mindset — able to draw insight from data and present it in a structured, meaningful way

REGULATORY NOTE

This role operates within an FCA-regulated environment and is subject to SM&CR Conduct Rules. The post holder must maintain accurate, documented evidence of all scheme activity and must remain fit and proper throughout their tenure.

To apply, please contact Neelam Gill at [email protected].

Skills Required

  • Experience working within a Training and Competence or regulatory compliance function in wealth management or financial services
  • Good working knowledge of FCA SYSC Training and Competence rules, SM&CR, and Certified Person obligations
  • Experience producing management information and reporting for senior or governance-level audiences
  • High attention to detail and ability to maintain accuracy across multiple concurrent processes
  • Clear and confident communication with stakeholders at all levels
  • Analytical mindset with ability to interpret data and present structured insights
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The Company
HQ: Houston, TX
552 Employees
Year Founded: 1991

What We Do

Mattioli Woods is a leading UK provider of wealth management and employee benefits. We pride ourselves in building long-term relationships to provide trusted advice, high standards, and a personalised delivery. We provide our clients with an all-embracing and integrated approach that is designed to develop a clear strategy for financial plans, supported by sound investment and taxation initiatives. Our clients want to be confident in the advice we give and for strategies to be administered quickly and efficiently. Our employee benefit solutions (whether off the shelf or designed especially for your business) will help to achieve the right mix to attract, motivate, retain, and engage the best team.

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