T&C / Compliance Manager - IFA (WFH/anywhere in Scotland)

Recruiter
Meraki Talent Limited
Location
Glasgow City Centre, UK
Salary
Competitive salary
Posted
27 Nov 2020
Closes
05 Dec 2020
Ref
1847259513
Job role
Compliance/risk
Sector
Accounting - Public practice
Experience level
Manager
Meraki Talent's client is currently looking to hire an experienced T&C / Compliance Manager to join their business on a permanent basis. My client is a leading Financial Services firm in Scotland which has a well rounded offering and client centric approach which has allowed them to enjoy organic growth in recent years.

As the T&C / Compliance Manager you will be manage the firms IFA Division in line with the firms T&C Scheme and ongoing FCA requirements. This will include:
  • Pre-approval of higher risk business files on a pro-active basis
  • Pre-approval of files, systems management and ongoing improvement of the Final Salary transfer process
  • FCA Reporting, Returns and updating of competency requirements
  • Regular Adviser T&C meetings with KPI feedback and review
  • Undertaking client observations to improve IFA skills
  • Ongoing improvements to the department and practices to improve client outcomes, productivity and governance
  • Oversight on the Investment Committee outcomes
  • Due Diligence on new products, platforms and providers

For this exciting newly created role my client requires a suitably qualified individual who is comfortable working with a range of stakeholders and who has excellent knowledge of Final Salary transfer process.

This role can be based remotely or from any of their offices across Scotland.

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