Full job descriptionJames 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
Please forward your CV for further details.