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Pertemps Scotland
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Edinburgh, City of Edinburgh
Compliance & Competency Manager
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Job Type: Full-time |
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Salary: £40,000 per annum |
Overview
Our client one of the UK’s fastest growing law firms currently have an exciting opportunity for an experienced Financial Services Compliance and Competency Manager to join them on a permanent basis. Job Purpose: Location – Edinburgh – Office based and home working available Salary – Competitive salary Hours of work – Full time Our client is looking for a Compliance and Competency Manager to manage the firm’s IFA division in line with the Firms Training & Competency scheme and ongoing FCA requirements. The successful candidate will be required to oversee all aspects on the Training & Competency scheme including: Key responsibilities: 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 FCA reporting, returns and general updating of competency requirements Regular adviser T&C meetings with Key Performance Indicators being analysed and discussed Client observations with a view to enhancing IFA skill levels and checking individual competency levels Involvement in recruitment and training of any new IFA appointments Instigation of any additional new practices which can improve client outcomes, productivity, efficiency and corporate governance within the department Liaison with compliance services to ensure all documentation being used is correct and FCA / Provider updates are being adhered to Oversight of Investment Committee outcomes including engagement in due diligence process of products, providers and platforms being used Flexibility for travelling to meet advisers will be required with occasional overnight stay. Conveyancing experience required If you are interested please apply or get in touch with Adam Young for a confidential chat on .