Compliance Manager
IDEX Consulting
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.

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