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- Tasks: Lead compliance and training for our IFA division while ensuring FCA standards are met.
- Company: Join a dynamic firm focused on enhancing client outcomes and corporate governance.
- Benefits: Enjoy flexible working arrangements and a competitive salary package.
- Why this job: Make a real impact in a management role with opportunities for growth and development.
- Qualifications: Must have Level 4 Diploma in Financial Planning and experience in the financial sector.
- Other info: Confidential discussions available; send your CV to Alison Curran.
The predicted salary is between 48000 - 84000 £ per year.
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 also include but not restricted to:
- 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.
The successful candidate will also have intricate knowledge of the provision of advice to clients in a compliant manner in line with legislation and as detailed in the firm's compliance manual and procedures. A broad base of compliance knowledge will be required as a minimum and a specific understanding/knowledge of the FCA conduct of business / rules is necessary for the role as it will include reporting of records, responding to FCA requests.
Regular communication and reporting will be required to the firm's senior management team on a regular basis on all relevant training and competence compliance issues and an expectation to have up to date knowledge on all relevant product, legislative and technical changes. Complying with the relevant compliance, TCF, T&C, Senior Managers & Certification Regime, financial crime anti-money laundering, data security, anti-bribery, fraud and corruption, 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 it is essential that you will 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 are offering 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 the strictest of confidence please get in touch with Alison Curran as soon as possible, ideally sharing a cv.
T & C director, manager - Scotland employer: Eden Scott
Contact Detail:
Eden Scott Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land T & C director, manager - Scotland
✨Tip Number 1
Network with professionals in the financial sector, especially those who have experience in compliance and training roles. Attend industry events or webinars to connect with potential colleagues and learn more about the latest trends in T&C.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations and compliance requirements. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to staying updated in your field.
✨Tip Number 3
Prepare to discuss specific examples of how you've improved training and competency processes in previous roles. Highlighting measurable outcomes can set you apart from other candidates.
✨Tip Number 4
Research the company’s values and recent developments. Tailoring your conversation to align with their goals and demonstrating how you can contribute to their success will make a strong impression during interviews.
We think you need these skills to ace T & C director, manager - Scotland
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, training, and competency within the financial sector. Emphasise any relevant qualifications, such as your Diploma in Financial Planning, and specific roles that align with the responsibilities outlined in the job description.
Craft a Compelling Cover Letter: Write a cover letter that directly addresses the key responsibilities of the role. Discuss your experience with FCA requirements, managing IFA divisions, and any successful initiatives you've led that improved client outcomes or compliance processes.
Showcase Relevant Skills: In your application, highlight skills that are crucial for the role, such as your knowledge of FCA conduct rules, ability to analyse Key Performance Indicators, and experience in training and recruitment. Use specific examples to demonstrate these skills.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is essential for a compliance-focused role.
How to prepare for a job interview at Eden Scott
✨Showcase Your Compliance Knowledge
Make sure to highlight your understanding of FCA regulations and compliance requirements during the interview. Be prepared to discuss specific examples of how you've ensured compliance in previous roles, as this will demonstrate your expertise and suitability for the position.
✨Prepare for Technical Questions
Given the technical nature of the role, expect questions related to financial planning and competency frameworks. Brush up on relevant legislation and be ready to explain how you would handle various compliance scenarios, showcasing your problem-solving skills.
✨Demonstrate Leadership Skills
As a T&C director, you'll need to lead and manage teams effectively. Prepare to discuss your leadership style and provide examples of how you've successfully managed teams or projects in the past, particularly in training and competency settings.
✨Engage with Real-World Scenarios
Be ready to engage in discussions about real-world scenarios that may arise in the role. This could include handling higher risk business files or improving client outcomes. Showing that you can think critically and apply your knowledge to practical situations will set you apart.
