At a Glance
- Tasks: Lead compliance and training oversight to enhance adviser standards and customer outcomes.
- Company: Join Trulife Financial, a rapidly growing financial services firm with a supportive culture.
- Benefits: Competitive salary, flexible working, and opportunities for personal and professional growth.
- Other info: Collaborative team focused on high performance and positive client outcomes.
- Why this job: Make a real impact on adviser quality and business growth in a dynamic environment.
- Qualifications: Experience in supervising advisers and strong understanding of FCA regulations required.
The predicted salary is between 50000 - 60000 £ per year.
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
- 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
- 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.
- 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
- 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.
Compliance & T&C Leader — Hybrid, Growth Impact in Caerphilly employer: Trulife Financial
Trulife Financial is an exceptional employer, offering a dynamic and supportive work culture that prioritises collaboration and professional growth. With flexible hybrid working options and a commitment to high standards, employees have the opportunity to influence compliance and supervision within one of the fastest-growing financial services firms in the UK. Join a team that values accountability, individual development, and making a meaningful impact on client outcomes.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance & T&C Leader — Hybrid, Growth Impact in Caerphilly
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those connected to Trulife Financial. Attend events, join online forums, and don’t be shy about asking for informational interviews. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching the company culture and values. Understand what makes Trulife tick and how you can contribute to their ambitious goals. Tailor your responses to show how your experience aligns with their mission of delivering positive client outcomes.
✨Tip Number 3
Showcase your skills through real-life examples. When discussing your experience, highlight specific situations where you influenced adviser standards or improved compliance processes. This will demonstrate your ability to make a meaningful impact in the role.
✨Tip Number 4
Don’t forget to follow up after interviews! A simple thank-you email can go a long way in leaving a positive impression. Use this opportunity to reiterate your enthusiasm for the role and how you can help shape compliance and supervision at Trulife.
We think you need these skills to ace Compliance & T&C Leader — Hybrid, Growth Impact in Caerphilly
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance and training. We want to see how your skills align with our mission at Trulife Financial, so don’t hold back on showcasing your relevant achievements!
Showcase Your Impact:In your application, focus on how you've positively influenced adviser standards or customer outcomes in previous roles. We love seeing candidates who can demonstrate their ability to drive change and improve processes.
Be Authentic:Let your personality shine through! We’re looking for someone who fits into our collaborative culture, so don’t be afraid to share your passion for compliance and adviser development in your written application.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way to ensure your application gets the attention it deserves, and you’ll find all the details you need to make your submission stand out!
How to prepare for a job interview at Trulife Financial
✨Know Your Compliance Stuff
Make sure you brush up on the FCA Training & Competence Handbook and any relevant regulations. Being able to discuss how you've applied this knowledge in past roles will show that you're not just familiar with compliance, but that you can actively contribute to maintaining high standards.
✨Showcase Your Leadership Skills
Since this role involves working closely with a leadership team, be prepared to share examples of how you've influenced adviser standards or driven positive outcomes in previous positions. Highlight your ability to coach and develop others, as this is key to supporting adviser growth.
✨Demonstrate Analytical Thinking
Be ready to discuss how you've used data analysis to identify trends or risks in your previous roles. This could involve sharing specific examples of how your analytical skills led to effective remediation plans or improved adviser performance.
✨Engage with Stakeholders
This role requires strong communication and stakeholder management skills. Prepare to talk about how you've built rapport and influenced stakeholders at various levels. Think of instances where you've successfully navigated challenging conversations while maintaining strong relationships.
