Compliance and T&C Officer

  • Location

    Nottingham, Nottinghamshire

  • Sector:

    Financial Planning

  • Job type:


  • Salary:

    £35000 - £40000 per annum + Bonus and Benefits, negotiable

  • Contact:

    David Everingham

  • Contact email:

  • Job ref:


  • Published:

    8 months ago

  • Expiry date:


  • Consultant:


Compliance and T&C Officer - Nottingham (flexible home based working available up to 3 days/ week)

MB Fitzgerald are currently working with one of the leading Financial Planning organisations across the Midlands to recruit a Compliance and T&C Officer to work alongside their Directors.

The role will be varied and interesting, helping with the day to day Compliance/ record keeping workload so that the Director can focus on longer term projects and audits. Responsibilities will include Complaint Handling/ maintaining accurate, detailed and up to date compliance records/ recording CPD/ implement and embed the risk agenda along with all line managers. This role is also responsible for ensuring a Training and Competence Scheme is adhered to, along with Performance Management framework for all staff including Advisers. The role is also responsible for the seamless recruitment, induction and exit of any staff member

Working alongside the Head of Compliance, there will be an element of Support with this role. However, we are looking for an experienced individual who can take responsibility and work independently. Candidates must have previous experience from a compliance or T&C background within Financial Services, ideally an IFA/ Financial Planning practice.

The ideal candidate will come from a IFA background and will have an excellent knowledge of all Financial Services products. Those who have completed the Diploma Financial Planning will be preferred although candidates with excellent experience who are within 1 or 2 exams may be considered.

The successful candidate will be joining a professional organisation with a fun, family working environment. Already at a fair size, they are growing quickly and as such there will be opportunity to progress within the organisation in the future.