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Compliance & T&C Manager

Full Time in Compliance & T&C
  • Knapton, York, UK View on Map
  • Salary: £45,000 - £55,000
  • Additional package info + WFH flex, attractive bonus, study support and full company benefits

Job Description

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 |