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T&C Consultant




Compliance, General Management, IFA/Independent Adviser


£30,000 to £45,000 Per Annum


Full benefits



Contract Type:


Main Purpose of Job:

To provide desk based T&C Support to advisers and firms and facilitate resolution of any regulatory or other business related issues. This will also include some engagement with key firms at their premises following identification of know issues.

To assist advisers and partner firms in achieving their business objectives

Key Responsibilities:

Undertake Compliance and Supervision audits on Network firms in line with the Compliance requirements and according to the Training & Competence scheme. Support the development of advisers competence in File submission to the Business Monitoring team

Audit duties

  • Assessing existing behaviour and practices against current Compliance and T&C standards as required by the Network;
  • Identifying any regulatory weakness, breaches or shortfalls within the firm and identify areas where the firm can improve their regulatory behaviour
  • Undertaking T&C supervision duties as required and reporting on any shortfalls or training needs identified
  • Building a strong business relationship with the firm to ensure adherence to Compliance and T&C standards at all times and promote best practice at every opportunity
  • Monitor completion of previously set remedial actions and agree any future actions to be taken to ensure compliance and T&C standards are met at all times
  • To quickly report any short comings identified and recommend appropriate actions, e.g. intensive support, suspension, additional training or other enhanced supervision as required
  • Assist adviser and firms to achieve their business objectives
  • Support the induction of new recruits through effective mentoring, presentations, and development activity as required
  • Present network initiatives and developments to partner firms as appropriate

Post Audit Duties

  • Complete report documenting results of visits including clear actions points for all parties;
  • Ensure that all correspondence is subject to the appropriate level of internal review prior to issue
  • Ensure paperwork is promptly filed in appropriate back office system and data base and all systems are updated
  • Ensure actions are tracked through and engagement with individuals to move position forward

Additional Duties on ad hoc basis

  • Attend and positively contribute to regular team meetings held with the T&C population
  • Maintain up-to-date CPD records demonstrating that skills and knowledge required to do the job are being maintained and enhanced
  • Complete all other duties reasonable expected by the Network
  • Undertake Compliance and other knowledge assessments as required by the Firm
  • Complete all necessary documentation - expenses, reports, request

Skills Required

  • Excellent Technical knowledge of products and industry to support in file construction and root cause analysis from Business Monitoring Findings
  • Attention to detail
  • Ability to interpret data and to analyse where existing procedures and practices do not meet with current regulatory standards
  • Excellent standard of written and verbal communication together with strong presentation skills
  • Strong interpersonal skills necessary including the ability to empathise and build strong business relationships with firms and advisers, whilst ensuring they adhere to all regulatory obligations
  • Ability to manage own time, workload and ensure that all contractual obligations are met with partner firms
  • Ability to self-motivate in knowledge testing, self-learning and the recording of CPD



  • Qualified to Diploma or QCA Level 4
  • Sound knowledge of UK regulatory framework