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Apply NowFram Search are working on an exciting opportunity for a T&C Manager to join a growing financial planning firm in Birmingham. Our client provides holistic financial planning and advice to individuals, households and businesses. Reporting directly to the Operations Director, the successful candidate will play a crucial role in ensuring the firm operates in accordance with the requirements of the FCA Handbook and adheres to the Conduct Rules. The role will be to monitor and conduct File reviews, compliance checks and training and competency supervisor for 7 advisors. The role is home based with travel into the Birmingham office for meetings. The salary range will be reflective of someone years of experience, and our client is happy to consider someone new to compliance if they have some experience working with financial advisors.
Key Responsibilities:
The ideal candidate will have knowledge and experience in Retail Financial Services Compliance and T&C. You will have excellent attention to detail, with the ability to meet hard deadlines. You will also be proficient in Microsoft Office applications and confident in using IT systems. Ideally someone who holds the Diploma in financial planning (RO1-5) or equivalent and compliance qualifications would also be desirable.