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 ...