Training & Compliance Manager

James Phillip Recruitment are working with traditional IFA company looking to take on a T&C manager.

Responsible for supporting and enhancing my clients compliance framework, ensuring the firm operates in accordance with all applicable FCA regulations, industry standards, and internal policies.

The role is designed as a key succession and development position within the firm.

The successful individual will be expected to progressively assume greater responsibility for the oversight of the compliance function, with the long-term objective of becoming the firm's SMF16 (Compliance Oversight) Function holder, subject to regulatory approval and demonstrating the necessary competence, capability, and experience.

Main roles -

• Regulatory Compliance
• Compliance Monitoring of their Chartered advisers
• Uphold Consumer Duty and client outcomes
• Deliver training
• Regulatory reporting

Skills, Knowledge & Experience Essential

• Experience within a compliance, risk, or regulatory role in a financial services environment.

• Strong understanding of FCA regulation and the UK financial advice/wealth management sector.

• Excellent analytical, organisational, and communication skills.

• Ability to work independently and influence stakeholders across the business.

• Strong attention to detail and professional integrity.

• Level 4 Diploma in Financial Planning or equivalent financial services qualification.

Desirable

· Compliance-related qualifications

· Experience supporting FCA-regulated advisory or wealth management businesses.

· Previous exposure to compliance monitoring and regulatory reporting.

Personal Attributes

• High ethical standards and sound judgement.

• Proactive and solutions-focused approach.

• Strong leadership potential.

• Ability to challenge constructively and influence positive outcomes.

• Commitment to continuous professional development.

Salary £80-£85k plus excellent benefits plus annual bonus

Please forward your CV for further details.