Compliance Manager
IDEX Consulting
Glasgow
6d ago

A leading IFA practice in Glasgow is looking for an experienced compliance manager to join the team.

You will be responsible for coordinating and refining the day to day running of the firms compliance processes to ensure the highest quality outcomes for their clients.

You will be responsible for :

  • Keeping the firms various plans up-to-date and ensuring that are documented correctly.
  • Working alongside the T&C Manager to ensure close supervision of the wealth advisers.
  • Collecting appropriate MI from the business and reporting it.
  • Ensuring the quality of the advice files reflects any changes in policy.
  • Level 4 diploma in financial services is essential as is experience working within an IFA environment.

    Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit.

    Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies.

    For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

    Report this job
    checkmark

    Thank you for reporting this job!

    Your feedback will help us improve the quality of our services.

    Apply
    My Email
    By clicking on "Continue", I give neuvoo consent to process my data and to send me email alerts, as detailed in neuvoo's Privacy Policy . I may withdraw my consent or unsubscribe at any time.
    Continue
    Application form