Compliance & T&C Manager
22 hours ago
Caerphilly
Compliance & T&C Manager At Trulife Financial The Opportunity As a Compliance & T&C Manager, you will deliver quality, risk, and Training & Competence oversight to advisers in line with Trulife Financial and The Openwork Partnership standards. Working closely with the leadership team, Principal, and Openwork stakeholders, you will play a key role in driving adviser standards, positive customer outcomes, and continuous improvement across the business. With a growing team of 70+ advisers across Mortgage, Protection, Wealth, and Financial Planning, this role offers the opportunity to genuinely influence adviser quality, supervision standards, and business growth within one of the fastest-growing firms in the Openwork Partnership. This is not a box-ticking compliance role. We are looking for someone who can positively influence standards, support adviser development, challenge where appropriate, and help shape the future structure of quality and supervision within the business. Based from our South Wales HQ, with flexible and hybrid working available, this is an excellent opportunity for an ambitious individual looking to make a meaningful impact within a growing financial services business. The Benefits • Competitive package (discussed on application), • Flexible and hybrid working approach, • Opportunity to help shape compliance and supervision within a growing business, • Exposure across Mortgage, Protection, Wealth, and Financial Planning advice, • Ongoing professional development support, • Supportive, ambitious, and collaborative leadership team, • Opportunity to join one of the fastest-growing advice businesses within the industry, • An inclusive culture focused on progression, accountability, and development Key Responsibilities • Deliver supervision in line with Trulife Financial’s Assurance Model and Supervision Framework, • Provide effective oversight and engagement with Practice Supervisors where appropriate, • Apply a tailored, risk-based supervision approach with effective root cause analysis and remedial action planning, • Promote strong customer outcomes through collaborative engagement with advisers, • Use MI, data analysis, and critical thinking to identify trends, risks, and supervision priorities, • Influence positive behaviours around conduct, competence, professionalism, and client outcomes, • Balance commercial awareness with regulatory responsibility, • Manage and organise supervision activity effectively to ensure regulatory requirements are met, • Proactively identify and address emerging risks across the business, • Support adviser development through coaching, feedback, and quality oversight, • Contribute towards the continued growth and development of the business through strong compliance leadership. What You’ll Need to Succeed Essential • Mortgage Advice Qualification (or equivalent), • Minimum 2 years’ experience supervising advisers and providing technical guidance, • Strong understanding of the FCA Training & Competence Handbook, • Experience applying FCA regulatory knowledge across a wide range of scenarios, • Ability to create and implement remediation plans focused on quality and client outcomes, • Strong communication, influencing, and stakeholder management skills, • Ability to operate confidently and independently within a fast-paced environment. Desirable / Developmental • Level 4 Diploma qualification or willingness to achieve within 18 months, • Equity Release qualification or willingness to complete within 12 months, • Commitment to maintaining CPD, SPS, and ongoing competence requirements, • Experience across Mortgage, Protection, and/or Wealth advice environments, • Key Competencies, • Strong analytical and problem-solving ability, • Effective judgement and decision making, • Confidence operating independently and handling challenges professionally, • Ability to build rapport and influence stakeholders at all levels, • Commercial awareness balanced with customer and regulatory focus, • Collaborative mindset with a drive to improve outcomes across teams, • Ability to challenge constructively whilst maintaining strong working relationships, • Organised, proactive, and solutions-focused approach Why Join Trulife Financial? Trulife Financial is a dynamic, ambitious, and rapidly growing financial services business built around the strength of its people. We currently have a team of 70+ advisers providing Protection, Mortgage, Wealth, and Financial Planning advice across the UK. We are proud of the culture and team we have built, combining a supportive and collaborative environment with high standards, professionalism, and a real focus on delivering positive client outcomes. As a business, we are extremely ambitious and committed to continued growth whilst maintaining the quality of advice and service we provide. We are committed to investing in our advisers and colleagues, creating an environment where individuals can develop personally and professionally whilst making a meaningful impact on the business and the clients we support. At Trulife, culture matters. We believe in high performance, accountability, collaboration, and supporting people to achieve their full potential. We also recognise the importance of flexibility, individuality, and creating a workplace where people genuinely enjoy what they do whilst building a successful long-term career. If you are looking for an opportunity to make a genuine impact within a growing and ambitious financial services business, we would welcome the opportunity to speak with you.