The Company: A leading Chartered Financial Planning firm based in York looking to add an experienced Compliance/T&C professional to deal with all internal compliance requirements as well as overseeing adviser development and support.

• Office Location: York
• Hybrid/Home Working: Yes – Split between home/office

Package: £45-55k base DOE + bonus and full company benefits

• Benefits: 25 days holiday plus stats with Xmas closure on top, pension, 4xDIS on top of a full flexible benefits package
• Bonus: Market-leading annual bonus pushing circa £10k per-year

The Role: This is a role providing compliance support for Training and Competence and quality assurance across the firms’ wealth planning arm. Duties & responsibilities include:

• Ensure appropriate advice and sales procedures are in place for all business areas and these are followed
• Ensures all employees who undertake distribution activities meet the FCA expectations in terms of knowledge, ability and repute
• Regularly review the relevant individual’s client files as required by the firms’ relevant procedures
• Checks as above but monitor checks for adherence to T&C scheme
• Completion of bi-annual risk assessment of all advisers
• Make sure all certification staff are certified before undertaking the role.
• T&C Scheme – Manage and implement and ensure adequate records are being maintained
• Make sure all retail investment advisers hold PFS
• Coach and develop junior advisers to attain competency including observations.
• Conduct regular 1:1s with all Advisers ensuring behaviours and KPI’s are on track.
• Complete all necessary changes/updates/applications to the FCA Directory/Register
• Prepare M.I – Present to the Board on a monthly basis
• Regular audit of processes to ensure being adhered to
• Report back monthly, at the Adviser Meeting, on any issues or support requirements that have come to light through file checking
• Support the Sales Team in adhering to all best practices and processes.

The Person: Must be QCF level 4 Diploma qualified and be coming from an IFA/wealth management background. This is an all-encompassing internal compliance role that covers the wider internal compliance function, so being motivated by a broader remit in a smaller firm is essential:

• Required: Experience within internal compliance/T&C
• Required: Previous experience of/responsibilities for file review prep and adviser training & development previously
• Preferred: Adviser onboarding and induction experience

What next? Further questions? Keen to apply & register your interest? Please get in touch asap:

Chris – 07891479277 | chris@cb3associates.co.uk