T&C Manager - Compliance

NJR Recruitment is delighted to be once again recruiting for one of York’s leading Independent financial advising firms who are now looking to recruit an experienced T&C Manager to join their team based in the outskirts of York

What’s in it for you?

• 25 days holiday + Bank holidays
• Bonus Scheme
• Hybrid Working
• Free Parking
• Healthcare scheme
• Half Price Gym Membership
• Company Pension
• Study Support towards

Working closely with the advisers and directors, the main purpose for this role is to ensure that all advice is compliant with industry standards and is delivered in the best way for clients.

Other duties will include:

• Conducting file reviews
• Completion of bi-annual risk assessment of all advisers
• Make sure all certification staff are certified before undertaking the role
• Manage and implement and ensure adequate records are being maintained for the T&C Scheme
• 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.
• Identify, organise and monitor CPD activities for the whole team to ensure all components of the CPD annual requirements are met
• Keeping up to date with the current developments in financial services, financial markets and economic trends

What do we need from you?

• Level 4 Diploma in Financial Planning, although level 6 would be ideal
• Previous experience in a similar role ideally in an independent financial planning setting
• Excellent communication skills, both written and verbal

If you are looking for your next position and think that you could be a good option for this role, please apply today or contact NJR Recruitment quoting NJR14587