Established for well over 25 years, the award-winning Wills & Trusts Group believes in treating clients as people, not just as a number. This “family” philosophy makes the company one of the most highly respected amongst financial advisers.

As one of the few firms of Chartered Financial Planners, Wills & Trusts has the technical know-how to deal with any situation but focuses on the growth of clients’ assets and the protection of those assets so that they pass to the right person at the right time.

Estate planning
Like most people, you want your assets to be passed to your family both during your lifetime and following your death. You want to be sure your wealth goes to the right person at the right time. You will probably want to make sure that you pay no more tax than is reasonable, and in some cases you will want to avoid it completely.

Investment management
You want to earn more on your savings and investments, at the same time, you want to pay as little tax as possible. Most importantly of all, you probably want to minimise any risk that you take. It takes a great deal of time and effort to build your wealth, and you want to protect it for your future and for the future of your family. We actively manage your investments to produce the greatest returns for the lowest risk. We put a premium on making sure you know what is happening and why. Our clients say our programme of client education is like nothing they have ever experienced before.

Pensions management
When you retire you will want to make sure that your pension produces the most income possible, that the income will last for the rest of your life, and ideally increase every year. If anything happens to you, it is no doubt important to you that your spouse will get your pension in full. We treat pensions like every investment we manage. Unlike most advisers, who only look at your pension once a year, we look at it every day, and we ask the question: how can we do better for you?

Wills & Trusts have an exceptional opportunity to join an established and high performing team in the role of Compliance Manager. This role will allow you the opportunity to help shape the future success of our unique organisation by informing on and enabling business activity which supports the business objectives.

What you’ll be responsible for

Within this role you will play a key part in implementing Wills & Trusts Compliance plan to ensure the company’s activities meet all regulatory requirements. 

As part of the role you will:

• Provide advice and guidance on all aspects of compliance for small IFA practice including, file reviews, annual compliance audits, TCF gap analysis and implementation, financial promotion approval, recruitment guidance, implementation of T&C scheme.
• Devise competency framework in which to assess advisers and then provide training and assessment for non-industry adviser from commencement through to being assessed as competent.
• Develop and maintain policies, processes, registers and MI reports to ensure the necessary aspects of regulatory compliance are adhered to and reported
• Design and deliver regulatory training to all team members including, MLV, Data protection etc
• Maintain awareness of regulatory compliance updates
• Assist with due diligence and on-going compliance
• Interpret regulatory requirements and implements practical, compliant solutions
• From time to time you will be required to visit hub sites to conduct compliance checks and training

Our successful applicant will have extensive experience and compliance knowledge within the Financial Services Sector with in-depth knowledge of Investments and Pensions and other financial products. You will have an understanding of FCA Handbooks, especially ICOBS, TCF, DPA, financial crime, consumer credit and complaints and have practical application of rules and regulations within a financial services organisation.

Initially we are looking for a Compliance Consultant to join us on a part-time basis, 2 days per week (we can be flexible).