Job Details
IFA Compliance Manager T & C
Sector:Financial Services
Region : South East England
Location: Fetcham Surrey
Salary: neg DOE & Qualification
Job Ref.: CL1411TCB
Job Information
Formed in the 1980’s to provide independent wealth management advice and a bespoke service for both individual and corporate clients around the world due to continued success in delivering bespoke Wealth Management solutions to their expanding client base, require an Experienced T & C Manager/Officer for their office in Surrey.The role can be WFH or Hybrid.
Capabilities
Experience of T&C within a financial services environment.
Good knowledge of FCA TC and Certification Regime requirements.
Proven communication, analytical and interpretation skills.
Ability to communicate at all levels.
Report writing skills.
Description of Responsibilities & Competencies
To provide professional Training and Competence (T&C) administrative support
Assist with the administration of the initial Competence and Capability assessment of all new Certificated staff
The T&C Officer maintains the T&C schemes and T&C procedures to ensure they are effective and meet all regulatory requirements.
The T&C scheme and procedures are audited annually by the Training and Competence Officer and independently by the Head of Compliance.
There are approx 30 Chartered advisers.
Ideally you shoule be Chartered or as a minimum diploma level 4 withing Financial Advice.
Apply on-line or contact Cameron James
Salary neg