Financial Services Compliance and Competency Manager

Date Posted: 27/01/2020

Location: Scotland

Job Description

Position type: Full time / Permanent - office based & home working available

Aberdein Considine are 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 individual will be suitably qualified and have relevant experience for this type of role. The successful candidate will be required to oversee all aspects on the Training & Competency scheme including:

  • 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

Requirements

The candidate will be report directly to the Financial Services Director and will work closely with the Firm’s Operations Director.

Flexibility for travelling to meet advisers will be required with occasional overnight stay.


How Do I Apply?

Online: Application Form

Download: Application Form

E-mail: recruitment@acandco.com

Mail: Human Resources Department
Aberdein Considine
5 - 9 Bon-Accord Crescent
Aberdeen
AB11 6DN