Compliance and T&C Officer

A Compliance and T&C Officer is required by a national financial planning firm to help implement and embed the risk agenda and take responsibility for ensuring a Training and Competence Scheme is adhered to, along with Performance Management framework for all staff. The role is based in Nottingham 3 days a week, with the other 2 worked from home.

The main responsibilities of the role will include

• Completion of the Compliance Monitoring Program, including staff performance records
• Maintaining the accuracy of company risk registers and records
• Reviewing and embedding through coaching, company risk procedures
• Providing support with client complaints, company breaches and access requests
• Producing monthly risk MI
• Updating the annual MLRO and Compliance Report
• Being responsible for Gabriel submissions and Connect applications
• Becoming a subject matter expert in key risk areas such as SM&CR, GDPR, AML, MifiD and Product Governance
• Reviewing and updating policies, systems, processes and effectiveness of our systems and controls
• Undertaking thematic reviews of risk based upon responses to MI and business need
• Keeping abreast of industry changes and regulation
• Ensuring all record keeping is up to date for the business
• Producing MI highlighting trends for the Financial Planners
• Supervising the Financial Planning team by performing 1:1s and creating Training and Development Plans
• Updating and maintaining the T&C schemes and necessary documents
• Conducting thematic checks and observations to help embed any process or change
• Coordinating and managing the recruitment process for other hiring managers

To be considered for this excellent opportunity you must be Level 4 qualified and possess good financial planning / wealth management experience. You will have previous T&C experience and a good understanding of the role of an IFA, along with pensions and investments in general. Excellent communication and stakeholder management skills are essential.


Salary:£35k - £40k + bonus + benefits


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