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T & C Director, Manager - Anywhere in Scotland, Edinburgh
Location: Edinburgh, United Kingdom
Job Category:
Other
EU Work Permit Required:
Yes
Job Reference:
3d53e742baff
Job Views:
5
Posted:
03.03.2025
Expiry Date:
17.04.2025
Job Description:
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). Key responsibilities of the role will be managing the firm's IFA division in line with their T and C scheme, overseeing all aspects in line with ongoing FCA requirements.
Duties will include but are not limited to:
* Pre-approval of higher risk business files on a pro-active basis, including system management and continual improvement of the final salary transfer process.
* FCA reporting, returns, and general updating of competency requirements.
* Regular adviser T&C meetings with Key Performance Indicators being analysed and discussed.
* Client observations to enhance IFA skill levels and check individual competency levels.
* Involvement in recruitment and training of any new IFA appointments.
* Instigation of additional practices to improve client outcomes, productivity, efficiency, and corporate governance within the department.
* Liaison with compliance services to ensure all documentation is correct and FCA/Provider updates are adhered to.
* Oversight of Investment Committee outcomes, including engagement in the due diligence process of products, providers, and platforms being used.
The successful candidate will have intricate knowledge of the provision of advice to clients in a compliant manner in line with legislation and the firm's compliance manual and procedures. A broad base of compliance knowledge is required, as well as a specific understanding of the FCA conduct of business/rules, which includes reporting of records and responding to FCA requests. Regular communication and reporting to the firm's senior management team on all relevant training and competence compliance issues is expected, along with an up-to-date knowledge of all relevant product, legislative, and technical changes. Compliance with the relevant compliance, TCF, T&C, Senior Managers & Certification Regime, financial crime anti-money laundering, data security, anti-bribery, fraud and corruption, and 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 must 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 offer 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 strict confidence, please get in touch with Alison Curran as soon as possible, ideally sharing a CV.
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