Training and Compliance Manager

James Phillip Recruitment are working with traditional IFA company looking to take on a TandC 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 and 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 ..... full job details .....