Risk and T & C Officer


Reference ID





c£35,000 + benefits

Contact Person

Angela Liscombe

Job description

Risk and T & C Officer

Nottinghamshire (our ref AL986)

Salary c£35,000 + benefits


My client, an established Wealth Management organisation has an opportunity for an experienced Risk and T & C Officer to join their team.


Key Responsibilities and Accountabilities:



  • Responsible for the completion of the Compliance Monitoring Program, including staff performance records
  • Maintain the accuracy of company risk registers and records
  • Review and embed through coaching, company risk procedures
  • Support with client complaints, company breaches and access requests
  • Produce monthly risk MI
  • Update the annual MLRO and Compliance Report
  • Respond to the regulator when required
  • Become a subject matter expert in key risk areas such as SM&CR, GDPR, AML, MifiD and Product Governance
  • Review policies, systems, processes and effectiveness of systems and controls
  • Co-ordinate the PII data prior to renewal
  • Undertake thematic reviews of risk based upon responses to MI and business need
  • Keep abreast of industry changes and regulation




  • Ensure all record keeping is up to date for the business
  • Produce MI highlighting trends for the Financial Planners
  • Supervise the Financial Planning team by performing 1:1s and creating Training and Development Plans
  • Update and maintain the T&C schemes and necessary documents
  • Work with Head of Advice and Risk to recommend necessary actions
  • Conduct thematic checks to help embed any process or change.
  • Coordinate and manage the recruitment process for other hiring managers
  • Welcome all joiners to the company by overseeing and coordinating their inductions
  • Ensure all leaver and joiner processes and records are accurate, coordinating their journeys


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