Manager / Director

New Today

An outstanding opportunity has arisen with our regional client for an experienced compliance, training and competency professional to join their management team. The position can be based anywhere in Scotland on a blend of home and office working (to be negotiated). Pre-approval of higher risk business files on a pro-active basis. Pre-approval of files, system management and continual improvement of final salary transfer process which is currently in place
Regular adviser T&C meetings with Key Performance Indicators being analysed and discussed
Involvement in recruitment and training of any new IFA appointments
The successful candidate will also have intricate knowledge of the provision of advice to clients in a compliant manner in line with legislation and as detailed in the firm's compliance manual and procedures. Regular communication and reporting will be required to the firm's senior management team on a regular basis on all relevant training and competence compliance issues and an expectation to have up to date knowledge on all relevant product, legislative and technical changes. Complying with the relevant compliance, TCF, T&C, Senior Managers & Certification Regime, financial crime anti-money laundering, data security, anti-bribery, fraud and corruption, GDPR procedures of the firm at all times is imperative to the role.
Candidates must hold a Diploma in Financial Planning (Level 4) minimum and it is essential that you will already work within the Financial Sector with experience as a Training and Competency Officer at a minimum level to support existing requisite technical knowledge and qualification e.g. G60/AF3/AF with a preference for having worked within a wealth management firm.
In return they are offering a highly attractive overall package, a rare opportunity to join their management team and add value from the outset - able to see where your contributions make a difference. To discuss in the strictest of confidence please get in touch with Alison Curran as soon as possible, ideally sharing a cv.
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Location:
Glasgow
Job Type:
FullTime

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