T&C / Compliance Manager

A well known professional services organisation with offices throughout the UK are looking for an experienced T&C / Compliance Supervisor to cover a small team of Financial Advisors in the London and Home Counties area. This role will be predominantly home based with the requirement to come into the office once a week as a minimum.

Key responsibilities of the role include:

• Liaising with compliance on regulatory matters
• Lead the implementing and monitoring of appropriate policies for compliance with FCA regulations with the wider compliance team
• Training to the team on compliance and quality matters
• Supporting the compliance team with any FCA interactions related to the Financial Planning team
• Ensuring key risks and controls are appropriately identified and assessed, including reporting on risk related matters and monitoring KPIs e.g. persistency, client feedback, concentration of provider recommendations
• Ensuring relevant colleagues meet the requirements and follow the relevant process to become certified in the client dealing function under the SMCR regime, managing reminders to certified individuals about their ongoing responsibilities
• Co-ordinate regular and ad-hoc performance and quality reviews and Internal Audits
• Controlling the sign-off of new regulated financial advisers
• Developing, updating and compliance monitoring of regulated advice processes

What we are looking for in you:

• Level 4 Diploma Qualified (or close to being qualified)
• Experience in working within a compliance and T&C within financial services previously
• This will ideally be within a Wealth Management / Financial Planning / IFA environment
• Exposure to Defined Contribution Consulting would be helpful
• Strong technical knowledge particularly around pensions and investments
• Strong understanding of the FCA and an ability to stay up to date on the changing regulatory landscape

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