T&C Consultant

Posted 20 February by IDEX Consulting Ltd

The Company

My client is an international and independent organisation specialising in advisory, audit, tax, legal and accountancy services, who are differentiated by the opportunities they offer their employees and approach to working with clients. This opportunity is perfect for an individual with a T&C or compliance background to get into one of the leading financial planning teams in the Midlands and make a difference in a global team.

The Role

My client is looking for a T&C Specialist to assist the Compliance Director in the implementation and monitoring of the training and competence (T&C) scheme within the company. In this role they will act as a T&C Supervisor and by doing so they will ensure that both firms with the company meet their FCA responsibilities with regards to T&C. This will include providing coaching, feedback and training to Advisers, support Advisers in achieving and maintaining competent status and monitoring Advisors ongoing compliance with the scheme.


  • To help staff with day to day compliance queries
  • To uphold compliance standards and look to minimise risk of day to day activities of the firm
  • Ensure Advisors obtain and renew their SPS as required to give advice to clients
  • liaison with other T&C Supervisors to ensure their compliance with the scheme
  • Implementing changes/updates to the scheme when required
  • Collecting, analysing and recording key performance indicator information as required by the scheme
  • Reporting via the Compliance Director to the board on all aspects of the scheme
  • Maintaining the T&C records as required by the FCA
  • Responsible for recruitment administration for all new Advisors to ensure meet FCA "fit and proper" requirements

To be successful you will need:

  • Background in a similar position
  • CII Financial Planning Certificate or Diploma qualified (or equivalent)
  • A desire to achieve CII Chartered status
  • Good coaching, mentoring and feedback skills
  • Practical compliance experience within the financial services sector preferably with an Independent Financial Adviser
  • Extensive knowledge of the FCA rule book and its practical application, particularly with regard to T&C
  • Good understanding of financial advice process and the FCA record keeping requirements
  • Experience with Intelligent Office or similar back office system

If successful, you will benefit from:

  • A full time, permanent position within a global organisation that will accommodate flex time and working from home if required
  • Up to £47,000 salary
  • Career progression
  • Working with Chartered Financial Planners
  • Central location in Birmingham city centre
  • Excellent company benefits
  • Funded support for industry qualifications

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Required skills

  • T&C
  • training and competence
  • training & competency
  • training & competence
  • T&C Consultant
  • T&C assistant

Reference: 34191579

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