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T&C Manager

  • Salary: £45000 - £50000 per annum
  • Location: Wolverhampton, West Midlands
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    14 Aug 2018
  • Job reference: 30885

My client an award winning financial planning firm. Established over 25 years ago, Who encourage individuals to flourish, to take personal responsibility and to improve their skills and qualifications are now looking to recruit a Trainings and Development Manager to the compliance team.

The role is to assist in maintaining the firms T&C framework to promote a strong compliance culture, ensuring that regulatory and conduct risk is managed effectively and ensure treating customers fairly principles are embedded within the firm.


  • Ensure that the firm maintains accurate, detailed and up to date compliance/T&C records across all areas of the firm's business
  • Drive the existence and adoption of appropriate ethical standards within the firm
  • Report to the firm's senior management team on a regular basis on all relevant compliance issues
  • Ensure that the firm's Adviser recruitment procedures meet the regulatory requirements and are adhered to
  • Ensure any new Adviser recruits are trained on both the soft skills along with firm's relevant procedures including complaints and financial crime
  • Ensure that all approved persons are assessed as fit and proper annually
  • Ensure that all approved pprsons are subject to the necessary levels of supervision outlined in the supervision Plan
  • Proactively conduct observation visits across product areas, identifying the suitability of the advice given by the Adviser and recommend and deliver remedial action for their development
  • Proactively identify common themes and risks across the business in terms of development areas or knowledge gaps
  • Ensure competence failings or remedial action is recorded against individual adviser development plans and addressed with them
  • Educate the client facing staff on the benefits of a robust T&C scheme

Relevant skills and knowledge

  • Broad base of compliance knowledge and proven experience of working in a T&C/Adviser training and development role
  • Specific understanding/knowledge of the FCA COBS/SYSC rules
  • Good understanding of other relevant legislation, including that related to financial crime
  • Ability to act with integrity, due skill, care and diligence
  • Strong communication skills - written and verbal

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.

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