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Technical Paraplanner & Compliance Manager

IDEX Consulting Ltd
Closing date
27 Jul 2021

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Senior Paraplanner/Compliance Manager

Idex Consulting are working exclusively for this exciting wealth management firm and this role could be based in either Glasgow or Edinburgh.

We are looking for a Senior Paraplanner (minimum diploma but ideally Chartered or close to it) who wants the opportunity to branch into compliance.

Fundamentally you will be a senior individual who will be responsible for the technical reports and checking of more junior members of the team.

Over and above you will have responsibility for:

Approval of all financial promotions and maintaining records of this

  • Signing off Reports
  • Digesting and implementing any new FCA guidance, policy
  • Dealing with compliance queries from Advisers, PPs and EA's
  • Preparing updates on key issues for the Executive and Board
  • Addressing any suitability issues or changes to the client proposition -e.g., the at retirement service/vulnerable clients
  • Conducting Advisor Meeting Observation & feedback
  • Organising file checks, internal and external and deliver feedback and training
  • Carrying out Adviser 1 to 1s and collating KPI scores
  • Checking in and troubleshooting with the Advisors
  • Attending meetings and raising issues for the agenda
  • Reporting on RI, compliance, Asset Intelligence and PP issues
  • Monitoring implementation of product and platform due diligence

In return you will receive a top end salary and benefits package please get in touch for a confidential chat as soon as possible.

Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.
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