James Phillip Recruitment are working with traditional IFA company looking to take on a T&C manager.
Responsible for supporting and enhancing my clients compliance framework, ensuring the firm operates in accordance with all applicable FCA regulations, industry standards, and internal policies.
The role is designed as a key succession and development position within the firm.
The successful individual will be expected to progressively assume greater responsibility for the oversight of the compliance function, with the long-term objective of becoming the firm’s SMF16 (Compliance Oversight) Function holder, subject to regulatory approval and demonstrating the necessary competence, capability, and experience.
Main roles
- Regulatory Compliance
- Compliance Monitoring of their Chartered advisers
- Uphold Consumer Duty and client outcomes
- Deliver training
- Regulatory reporting
Skills, Knowledge & Experience Essential
- Experience within a compliance, risk, or regulatory role in a financial services environment.
- Strong understanding of FCA regulation and the UK financial advice/wealth management sector.
- Excellent analytical, organisational, and communication skills.
- Ability to work independently and influence stakeholders across the business.
- Strong attention to detail and professional integrity.
- Level 4 Diploma in Financial Planning or equivalent financial services qualification.
Desirable
Compliance-related qualifications
- Experience supporting FCA-regulated advisory or wealth management businesses.
- Previous exposure to compliance monitoring and regulatory reporting.
Personal Attributes
- High ethical standards and sound judgement.
- Proactive and solutions-focused approach.
- Strong leadership potential.
- Ability to challenge constructively and influence positive outcomes.
- Commitment to continuous professional development.
Salary £80-£85k plus excellent benefits plus annual bonus
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