Compliance Monitoring & T&C Officer

  • Location

    Cheadle Hulme

  • Discipline:


  • Job type:


  • Salary:

    £32,500 - £38,000 + benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    over 2 years ago

Our client is a well-respected financial services organisation looking for an individual who will report to the Head of Compliance and Risk and undertake this broad yet rewarding role working as part of a small but dedicated team.

The role-


The role is split between supporting the Compliance Function and the Training & Competence Supervisor.


·         To undertake file reviews on business submitted by Appointed Representative firms, providing feedback and development.

·         To record and monitor new business submitted by Appointed Representative firms.

·         To maintain and embed the T&C Scheme, taking responsibility for ensuring that all aspects of the scheme are adhered to.

·         To be responsible for the recording and checking of all financial promotions.

·         To be responsible for the handling and monitoring of complaints.


Key Accountabilities-

·         To conduct T&C visits across all product areas, determining the suitability of the advice given and highlighting areas for development.

·         To facilitate and deliver T&C training for Network Appointed Representatives.

·         To educate the client facing staff in the business on the benefits of a robust T&C Scheme.

·         To act as a referral point for complex files or sensitive issues.

·         To identify common themes and risks across the business in terms of development areas or knowledge gaps.

·         To develop strong working relationships with relevant stakeholders across the business and any relevant third parties.

·         To visit group members and potential members as required, carrying out due diligence, compliance checks and firm and adviser level training and development.

·         To have delegated authority to ensure that the Money Laundering Regulations are complied with and advisers receive appropriate training at appropriate intervals.

·         To monitor all promotional material as defined in the FCA rules and to be responsible for the maintenance and revision as required of the Disclosure documents of the Appointed Representative Companies.

·         To assist in the running of induction courses and other training courses.

·         To monitor and report where necessary changes made to the FCA handbook or guidance given by the FCA.

·         To review and update the Compliance manual as required.

·         To identify any material risks that occurs in the compliance function.  These should be entered onto the Risk Database and appropriately monitored and reviewed.

·         To support the implementation of corporate culture initiatives.

·         To be aware and comply with office health and safety procedures.

·         To carry out other such duties and responsibilities as required by your line manager or assigned to you by the Society from time to time.

Key Requirements-

·         CII / PFS qualification, ideally QCA Level 4 Diploma– Essential.

·         Certificate in Mortgage Advice or equivalent – Essential.

·         Proven experience in working within a T&C/Suitability role – Essential.

·         Has a good understanding of FCA requirements for T&C – Essential.

·         Demonstrable knowledge of suitability, risk profiles and KYC – Essential.

·         Supervisory qualifications such as H15, J07 or AF6 - Desirable.

·         Excellent interpersonal, verbal and written communication skills.

·         Ability to challenge when required, in a constructive manner.

·         Experience with working with IFAs.

The role will be a mixture of office and field based work but travel is likely to be restricted to approximately 2 days a month.

Salary is entirely commensurate with experience but will reflect the significance of the role