Compliance Manager

Role is home based with travel to Birmingham
Retail Financial Services Compliance and T&C ideal
Reporting directly to the Operations Director
Fram Search are working on an exciting opportunity for a T&C Manager to join a growing financial planning firm in Birmingham. Our client provides holistic financial planning and advice to individuals, households and businesses. Reporting directly to the Operations Director, the successful candidate will play a crucial role in ensuring the firm operates in accordance with the requirements of the FCA Handbook and adheres to the Conduct Rules. The role will be to monitor and conduct File reviews, compliance checks and training and competency supervisor for 7 advisors. The role is home based with travel into the Birmingham office for meetings. The salary range will be reflective of someone years of experience, and our client is happy to consider someone new to compliance if they have some experience working with financial advisors.
Key Responsibilities:
Support the Operations Director in ensuring adherence to all relevant regulations and legislation.
Maintain detailed and accurate compliance records, reporting any identified compliance issues.
Assist in monitoring and conducting compliance checks on advice provided by the firm's Financial Planners and Appointed Representatives.
Monitor the firm's compliance with the Financial Services and Markets Act 2000, FCA Statements of Principle & Code of Practice and relevant FCA rules.
Implement and uphold Consumer Duty, ensuring the interests of customers are considered and they are treated fairly.
Review and assess advice provided by Financial Planners, including file reviews.
Provide Training & Competence (T&C) supervisory support to Financial Planners.
Assist with the preparation and submission of FCA regulatory returns, including RegData, and manage FCA/FOS/FSCS fees data and the firm's Professional Indemnity Insurance cover renewal application.
Gather, record and report relevant Management Information.
Assist with the investigation of complaints, errors & omissions and data breaches.
Support the review, update and implementation of policies and process standards.
The ideal candidate will have knowledge and experience in Retail Financial Services Compliance and T&C. You will have excellent attention to detail, with the ability to meet hard deadlines. You will also be proficient in Microsoft Office applications and confident in using IT systems. Ideally someone who holds the Diploma in financial planning (RO1-5) or equivalent and compliance qualifications would also be desirable.