Compliance Manager

Meridian Business Support
United Kingdom
15 Apr 2018
21 Apr 2018
Job role
Our client is a leading Financial Services provider and they are looking for a Compliance Manager to join the Team in Scotland (location flexible).

Purpose of role:

The Regional Compliance Manager role is to contribute to the work of the Compliance Department in delivering training, competence and development schemes across the group.

Key responsibilities:

* Undertaking 1:1s/role-plays/assessments/observations in accordance with the applicable T&C schemes
* Undertaking compliance related elements of induction
* Obtaining, assessing, evaluating and monitor relevant KPIs and MI
* Monitor completion of relevant/structured CPD, highlighting any concerns and working with advisers to ensure rectification work completed in a timely manner
* Reviewing the findings of pre and post-sale file checks and ensuring that any training needs are identified, addressed and validated in a timely manner
* Maintaining risk ratings for planners in accordance with the T&C scheme
* Liaising with the Head of Policy and contributing to root cause analysis into complaints relating to planners in the region/hub
* Disseminating compliance policy and procedure at region/hub level via meetings/workshops
* Attend compliance team meetings
* Providing the Head of Compliance Operations and Delivery with regular reports on activity


* 5 yrs or more in a financial services environment
* 3 yrs or more in a T&C role at an IFA/advisory business
* T&C qualification
* QCF Level 4 qualification or equivalent would be ideal
* Ability to work under minimal supervision
* Coaching and development
* First class communication skills

This is a fulltime permanent role working Monday to Friday 9.00am-5.30pm offering a salary circa £50,000 based on experience, plus benefits.

Please contact Gemma Lawrence at Meridian on (Apply online only) or email to apply and find out more.

Meridian Business Support is acting on behalf of our Client as a Recruitment Agency

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