489 Results found.

Overview so far: the expected regulatory hot topics of 2025

Insight — 28/01/25
Less than one month into 2025, the financial services sector is already abuzz with discussions and analyses concerning the diverse compliance and regulatory challenges anticipated this year.   These topics were at the forefront of our recent TCC compliance forums, hosted by our in-house regulat

Operations Manager

Job
The Operations Manager will oversee and manage the operational execution of a Remediation Project within the Wealth Management space. This role is crucial for ensuring that the project is delivered on time, within scope, and in alignment with regulatory requirements. The Operations Manager will work

How one marketer used AI to step into Christmas

Insight — 17/12/24
As the festive season gathers pace and the December days buzz by, businesses everywhere begin thinking about how to celebrate with their customers, partners, and employees. One tradition that never goes out of style is the corporate Christmas card. And as their design has evolved from traditional po

Navigating ongoing advice servicing challenges in wealth management

Insight — 20/11/24
Ongoing advice servicing is currently the biggest challenge for the wealth sector and probably will be for some years to come.   Paying for what you don't need or receive One of the key concerns from the FCA – one that it has had for several years – is that many advice clients sign up for a

What firms should take from the FCA’s latest portfolio strategy letter

Insight — 12/11/24
The FCA's latest portfolio strategy letter for financial advisers and investment intermediaries has become an important cornerstone of its communications. While the business plan remains a must-read, the portfolio strategy letter offers deeper, sector-specific insights, highlighting the FCA’s prio

Hopcraft: Is DCA PPI2?

Insight — 30/10/24
Close Brothers Group and FirstRand Ltd have announced plans to appeal to the UK Supreme Court after the Court of Appeal ruled against them in a landmark decision on motor finance commission disclosures. The ruling that was delivered on Friday, 25th October 2024, upheld complaints from three consume

FCA fines highlight the need for better customer support

Insight — 24/10/24
Two recent huge fines imposed by the FCA have once again spotlighted the ongoing need for improvement across all forms of financial service lending. It highlights that firms need to ensure that customers are receiving effective support and good outcomes in periods when they experience financial diff

File Reviewer

Job
Contract:  Fixed-term 12 months contract role £40,000-£52,0000, depending on experience Requirements:  Diploma Level 4 Qualification is essential (i.e. Diploma in Financial Advice and Diploma in Financial Planning) Experience of general investment products and pensions Strong suitability of advi

Change & Transformation Recruitment Consultant

Job
APPLY HERE As an established forward-thinking financial services consultancy and managed service provider, TCC helps its clients solve their most pressing compliance challenges through a combination of deep regulatory expertise and next-generation technology. We are seeking a dynamic and motivated r

How advice firms should navigate the AI journey

Insight — 17/09/24
There are numerous new AI solutions available for financial advice firms, offering a range of choices. However, it's often unclear which type of AI is being promoted and if it suits your needs. It's important to know there are two main types of AI, and it's crucial to identify which one is right for

DSAR Case Handler

Job
Requirements:  Logging new DSARs onto the system Interrogating the Policy system to identify the relevant documentation. Downloading and storing the documentation on another system Redacting the documents to ensure they comply with GDPR Contract details:  ASAP start, a three-month contract (initia

Insurers urged to demonstrate fair value and good customer outcomes

Insight — 28/08/24
Gary Maude, Director of Advisory Practice at TCC, shares his concerns for the insurance sector: "In conjunction with the recent regulatory scrutiny of insurance products such as GAP insurance, the regulator’s criticism of motor claims handling, and the ongoing consideration of Discretionary Commis

Five key questions to consider when changing your advice model

Insight — 22/08/24
Recently there has been an uptick in investment advice firms looking to make some material changes to their propositions, TCC’s regulatory experts report.   For example, some advisers are looking to introduce in-house investment platforms or to manage portfolios on a discretionary basis, to i

Discretionary commission arrangements review – do I need to act?

Insight — 22/08/24
“Firms who expect the Barclays hearing to result in this issue going away may be disappointed and left trying to catch up on a number of critical risks.” Gary Maude, Director of Advisory Practice, TCC Group Background It's been widely reported that the FCA is conducting a review into whether mot

Five key priorities for long-term Consumer Duty success

Insight — 09/08/24
TCC recently hosted a multi-sector Consumer Duty forum to review ongoing industry risks and challenges whilst providing the opportunity to benchmark progress against financial service peers. In this post-forum evaluation, we consider the five key themes from the day and examine them in greater detai