T&C Manager
2 weeks ago
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.
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T&C Manager
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Birmingham, United Kingdom Fram Executive Search Limited Full timeFram 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...
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T&C Manager
2 weeks ago
Birmingham, United Kingdom Fram Executive Search Limited Full timeFram 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...
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T&C Manager
2 weeks ago
Birmingham, United Kingdom Fram Executive Search Limited Full timeFram 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...
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T&C Manager
2 weeks ago
Birmingham, United Kingdom Fram Executive Search Limited Full timeFram 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...
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T&C Manager
2 weeks ago
Birmingham, United Kingdom Fram Executive Search Limited Full timeFram 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...
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T&C Manager
2 weeks ago
Birmingham, United Kingdom Fram Executive Search Limited Full timeFram 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...
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Birmingham, United Kingdom Fram Executive Search Limited Full timeFram 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...
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Birmingham, United Kingdom Fram Executive Search Limited Full timeFram 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...
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