COMPLIANCE AND TRAINING & COMPETENCY

We provide a trusted regulatory framework, allowing firms to focus on growing their business while ensuring fair and robust compliance.

Our firms trust us to provide a safe and comprehensive regulatory framework to trade within, enabling them to focus on building their business.

We aim for compliance to be rational, fair, and robust enough to afford protection to our advisers in what can be difficult market conditions.

"Any compliance questions and I just have to pick up the phone. The support I receive is second to none." - Rob Simpson, Director - Simpson Mortgage Services

Testimonials

Day to Day

We have a friendly and supportive compliance team that are happy to discuss any compliance queries or individual feedback, as well as one to one training. Our team is dedicated to ensuring our network members are up to date and fully informed of network and regulatory requirements.

Monthly

Compliance Bulletins are delivered on a monthly/bimonthly basis, followed by optional online question and answer sessions to clarify any points from the latest bulletins.

Annually

An in-depth annual review and observation will be run by our Field Compliance Managers. They’ll spend time getting to know you, your business and your team.

“By making sure your business is getting the right support from the right network, you can achieve stellar results and growth within any environment.”

- Sebastian Murphy, Group Director

Compliance and Training & Competency at JLM includes;

FCA reporting and PI Cover included
Training and Competency Scheme, with annual certification
Face to face induction programme
Electronic CPD and training portal
Inhouse compliance team and allocated file checker

Monthly compliance bulletins, with online webinars
Annual national sales and compliance meeting (face to face)
Financial promotions and marketing guidance, with 24-48hr response time
Dual authorisation permitted for Mortgage and Equity Release advice

Annual National Sales & Compliance Meeting

Our annual face-to-face network meeting allows our network members to come together and share their experiences and industry knowledge, as well as develop and benefit from a professional network of peers to refer to for guidance and expertise.

Inviting leading industry professionals, lenders and insurers to these meetings, ensures our advisers are supported in their continued professional development and up to date with market changes. We pride ourselves on our network members being well informed of industry developments, which in turn improves client experiences and outcomes.

Let's Talk

Every journey starts with a first step. If if you’re interested in the detail and want to learn more, let’s talk. Complete our enquiry form and one of our team will be in touch, or, call in and we will be pleased to talk with you.

Your enquiry will, of course, be treated in confidence.

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COMPLIANCE AND TRAINING & COMPETENCY