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.