Compliance/ Training and Development Manager – Wolverhampton

recruitukltd £45,000 - £50,000

Are you looking for a new role in compliance / Training and Competency? Looking for a company which values it’s employees and their own career goals?


I am working on an excellent opportunity for an experienced financial planning compliance professional to join a supportive and client focussed team in a central Wolverhampton. Along with the security of joining an established and hugely successful Independent Financial Advice firm the role will allow you the autonomy to fulfil your responsibilities in a supportive and rewarding environment.

Purpose of the role:


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 that Treating Customers Fairly principles are embedded within the organisation.


General Responsibilities

  • Ensure that the firm maintains accurate, detailed and up to date compliance/T & C records.
  • Comply with the relevant Compliance, TCF, T&C and Financial Crime Procedures of the firm at all times.
  • Ensure knowledge of the necessary regulatory requirements is kept up to date.
  • Reporting all relevant compliance issues to senior management.
  • Working closely with the Compliance Manager to ensure consistency of message across the business.
  • Ensure compliance with FCA rules and the Financial Services and Markets Act.


Authorisation of Individuals

  • 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 all approved persons read and understand the FCA Code of Practice and the firm’s internal Personal Account Dealing rules
  • Ensure that the FCA is notified of any approved person ceasing to perform a controlled function or changes in their details.
  • Ensure that all approved persons are assessed as fit and proper annually.
  • Ensure the firm keeps up to date management information and that any adverse trends or recurring problems identified are passed on to the relevant individuals within the firm.


Training and Development

  • Educate the client facing staff on the benefits of a robust T & C scheme.
  • Ensure that any advising individual has maintained a relevant and adequate record of CPD and KPIs by formally reviewing this as outlined in the T &C compliance plan.
  • Ensure that all approved persons 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.


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
  • Strong communication skills – written and verbal
  • Ability to act with integrity, due skill, care and diligence.


For more information on this role, please contact Russell Davies at Recruit UK on 01179170418. Quote reference 12622

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