Compliance & T&C Manager

The Company: A leading Chartered Financial Planning firmbased in York looking to add an experienced Compliance/T&C professional to deal with all internal compliance requirements as well as overseeing adviser development and support.

• Office Location: York
• Hybrid/Home Working: Yes - Split between home/office

Package: £48-55k base DOE + bonus and full company benefits

• Benefits: 25 days holiday plus stats with Xmas closure on top, pension, 4xDIS on top of a full flexible benefits package
• Bonus: Market-leading annual bonus pushing circa £10k per-year

The Role: This is a role providing compliance support for Training and Competence and quality assurance across the firms’ wealth planning arm. Duties & responsibilities include:

• Ensure appropriate advice and sales procedures are in place for all business areas and these are followed
• Ensures all employees who undertake distribution activities meet the FCA expectations in terms of knowledge, ability and repute
• Regularly review the relevant individual’s client files as required by the firms’ relevant procedures
• Checks as above but monitor checks for adherence to T&C scheme
• Completion of bi-annual risk assessment of all advisers
• Make sure all certification staff are certified before undertaking the role.
• T&C Scheme - Manage and implement and ensure adequate records are being maintained
• Make sure all retail investment advisers hold PFS
• Coach and develop junior advisers to attain competency including observations.
• Conduct regular 1:1s with all Advisers ensuring behaviours and KPI’s are on track.
• Complete all necessary changes/updates/applications to the FCA Directory/Register
• Prepare M.I - Present to the Board on a monthly basis
• Regular audit of processes to ensure being adhered to
• Report back monthly, at the Adviser Meeting, on any issues or support requirements that have come to light through file checking
• Support the Sales Team in adhering to all best practices and processes.

The Person: Must be QCF level 4 Diploma qualified and be coming from an IFA/wealth management background. This is an all-encompassing internal compliance role that covers the wider internal compliance function, so being motivated by a broader remit in a smaller firm is essential:

• Required: Experience within internal compliance/T&C
• Required: Previous experience of/responsibilities for file review prep and adviser training & development previously
• Preferred: Adviser onboarding and induction experience

What next? Please send CV applications to Chris at CB3 Associates Ltd to be reviewed inside 24 hours. For further opportunities that might suit you, please visit the website: www.cb3associates.co.uk