Compliance Manager Jobs Scotland
An excellent opportunity has been created for a compliance manager based covering Scotland and the North of England for a well respected UK wide IFA business.
Within this role it will be crucial to provide ongoing compliance advice, support to, and monitoring of, Sales Managers and Advisers and also to ensure compliance to both internal and FSA Regulatory requirements are met.
The successful candidate will also be responsible for monitoring of the Sales Management implementation and maintenance of the TC scheme, particularly in relation to KPI reviews, client meeting observations, development and action plans to agreed business benchmarks and in conjunction with regulatory best practice
- Visit all branch offices in the region regularly and ensure staff within remain competent and compliant.
- Assist compliance and the business in implementation of the revised Training Competence scheme.
- Understand each key aspect of the role
- Ensure Sales Managers have the skills to Supervise
- Implementation of RAG rate system for Advisory team
- Support advisors in their preparation for RDR
To be considered for this role it is essential that you can demonstrate the following skills, knowledge, qualifications and experience;
- FPC or CFP equivalent (Diploma qualification advantageous)
- Good working knowledge of FSA Principles and Rules
- Computer Literate including use of PowerPoint
- Time spent in role within Financial Services Industry
- Demonstrable experience of TC regime and implementation
- Excellent written and communication skills
- Attention to detail
- Ability to build and maintain rapport with external and internal clients
For a confidential discussion and if you meet the above requirements please press apply and one of our specialist Financial Services Recruitment Consultants will contact you.