IFA Office Manager/Compliance Officer

Job Location	Perth
Education	Not Mentioned
Salary	£50,000 - £60,000 per annum
Industry	Not Mentioned
Functional Area	Not Mentioned
Job Type	Permanent , full-time

Job Description

This represents a superb opportunity to join a successful IFA firm.Their core beliefs are treating clients, staff, product providers and business partners honestly, professionally and with integrity.The partners are now looking for a talented individual to assume overall responsibility for the effective day to day running of the practice.Responsibilities:

Audit all documentation that they use to ensure it is up to date
Oversight of the review process
Assist in checking/updating all procedures, including research, investment committee
Investigate and report on any complaints
Deal with Reporting to the FCA (Gabriel Returns etc)
Carry out file checks for business written
Monitor CPD for R.I.s
First point of contact and offer support to the Paraplanners and Administrators
Give guidance to advisers on any issues of compliance
Carry out any specific training required (Money Laundering for example)
Carry out 1:1s with Advisers, Paraplanners and Administrators
Attend board meetings

Qualifications:Diploma qualified or working towardsThis is a fantastic opportunity for a talented, professional senior operations professional from a private client wealth management/IFA background to take a highly visible and responsible role in a successful business and forge a career defining opportunity.Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEXConsulting website and view our Privacy Policy.Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurableeffort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

Keyskills :
Compliance AssistantCompliance OfficerCompliance ManagerFCA complianceRegulatory Controller

APPLY NOW