Matt Carter

T&C Manager Overview To lead the T&C function while supporting the line management of Financial Planners, Mortgage Advisers, Employee Benefit Consultants, including Appointed Representatives (advisers), within the Group to deliver training and monitor competency in line with FCA regulations and the company’s T&C Scheme. Key Responsibilities:Ensure internal policies and FCA regulatory requirements are adhered to across the Group.Adhere to Company T&C Scheme.Management of T&C Supervisors, ensuring the Group complies with the best business practices and regulatory requirements.Oversee the T&C of regulated and other individuals within the Group, ensuring compliance with business practices and regulatory requirements.Work with Compliance, Business Quality, Regional Sales Directors, HR, and other departments to ensure consistent training and monitoring of the advice process.Maintain, update, and review T&C records and processes to ensure accuracy and compliance.Support line management in supervising Financial Planners, Mortgage Advisers, and Corporate Financial Planners through observed meetings, 1-2-1 development sessions, coaching, and feedback.Agree on, implement and deliver training plans for advisers across the Group, and deliver and/or arrange training sessions in both group settings and individually. Experience & Qualifications:Minimum level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)Working knowledge of FCA Principles and Rules.Good working knowledge of Microsoft Office products including Word, Excel, Outlook and PowerPoint.Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry.

Head of Compliance Monitoring Location: London (Hybrid)Sector: Wealth & Investment Management OverviewYou will be a key member of the Compliance function working closely with the SMF16, SMF17 and the wider Compliance team.Overseeing and taking responsibility for the Compliance Monitoring, Thematic, and Third-Party Oversight Programs. You will also be responsible for the day-to-day management of the Compliance Monitoring Team. Key Responsibilities:Developing and delivering the risk-based Compliance Monitoring, Thematic, and Third-Party Oversight Program, ensuring alignment with business strategy and responsiveness to internal and external developments.Leading, developing, and inspiring a high-performing Compliance Monitoring team, fostering a culture of continuous improvement and accountability.Championing robust documentation, methodology, and procedures across all compliance monitoring activitiesAttending and contributing to the Compliance Management Committee, Risk Management Committee, Financial Crime Committee, Compliance Team Meetings, and other sub-committees as appropriate. What You’ll BringSignificant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth & Investment managementStrong working knowledge of the UK regulatory framework, including the FCA Handbook and Consumer DutyExperience of managing people managementStrong stakeholder engagement skills

Overview  A File Reviewer opportunity has arisen to join an established team working as part of the wider Compliance Function. Responsibilities Part of a dynamic compliance team reviewing cases submitted by financial advisersAssisting answering enquires from advisers by email and telephoneSkills and ExperienceIdeally Level 4 Diploma qualifiedStrong written and verbal communication skillsExperience with a variety of products, Pensions, Investments & Mortgages.Experience of working in a compliance, file checking, or paraplanning position

Training & Competence Supervisor (Level 4 Diploma Qualified)   Overview  An opportunity has arisen to join one of the fastest growing Financial Advisory and Wealth Management firms in the UK  Responsibilities Provide ongoing supervision to advisers in line with supervisory standards set within the functionProvide training to advisers to develop their skills and competenciesCompletion of annual and additional risk based one to ones with advisersProvision of technical, supervisory and compliance support to new and existing advisersProviding appropriate feedback to individual advisersManaging induction and supervision of new entrants Skills and ExperienceExcellent communication skillsLevel 4 Diploma qualifiedGood product and technical knowledge across all aspects of financial services with particular knowledge and experience of all types of pensions and investmentsIdeally 3 years + experience of working in a T&C position