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Regional Compliance Manager

  • Location


  • Sector:

    Regulatory, Risk & Compliance

  • Job type:


  • Salary:

    £45000 - £50000 per annum, Benefits: Competitive Benefits

  • Contact:

    Joanne McPherson

  • Contact email:


  • Contact phone:

    0113 274 3000

  • Job ref:


  • Published:

    about 2 years ago

  • Duration:


  • Expiry date:


  • Startdate:


  • Consultant:


Are you passionate about adviser development, compliance and quality standards, do you want to be part of a business that is constantly evolving to be the best version of itself, do you want to add value for advisers, monitor standards and shape processes in order to deliver positive consumer outcomes? 
If so, this may well be the opportunity for you, as a highly progressive National IFA business is looking to add further Regional Compliance Manager to its established Compliance function to cover the North East and Scotland.
Your core duties and responsibilities would be as follows:
·         Working as a key team member of the Compliance Department conducting T&C supervision for Advisers and providing support to Paraplanners around quality standards and file reviews
·         Observing and feeding back to Advisers on a regular basis in a constructive, timely and professional manner
·         Identifying trends and proposing remedial actions with documented follow ups for review
·         Conducting root cause analysis, recording relevant MI and escalating any issues to relevant stakeholders
·         Working in conjunction with the wider Compliance department to promote adherence to internal processes and policies whilst also being aware of current and emerging FCA requirements
You will ideally have the following skills and experience:
·         Demonstrable track record of providing T&C support, business quality assessment and file reviews for advisers
·         QCF Level 4 as a minimum, any progression towards chartered status would be advantageous, but is not essential, the desire to attain level 6 is preferred
·         H15/J07 would be advantageous but is not essential – though there will be a requirement to attain this whilst in post
·         Current and thorough knowledge of the UK’s regulatory requirements within an advisory setting
·         Detailed and technical understanding of platforms and products across both investment and non-investment
·         Skilled communicator with the ability to deliver constructive feedback and challenge in a positive and engaging manner
·         Competent with back office systems and the Microsoft suite of products e.g. Word & Excel
There are a number of locations including Edinburgh and Glasgow where there may be the opportunity to work within an office setting, there may also be the opportunity to work from home should circumstances permit it.  Travel will be involved and the occasional overnight stay may also be required.
You will enjoy a competitive basic salary and benefits package including 25 days holiday, Group Pension, DIS, Share Option Scheme and the opportunity to progress you career and professional competence by way of funded study support.
Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to apply.a33wmm8m5r@bwd-search.aptrack.co.