Select which cookies you accept
When you visit this website, it may store or retrieve information on your browser, mostly in the form of cookies. This information might be about you, your preferences or your device and is mostly used to make the website work as you expect it to. The information does not usually directly identify you, but it can give you a more personalized web experience.
Because we respect your right to privacy, you can choose not to allow some types of cookies. Below is a list of different categories of cookies that may be set and that you can freely change. However, blocking some types of cookies may impact your experience of the site and the services we are able to offer.
These cookies are required and must be accepted to use this site.
These cookies collect data about how visitors use this website.
These cookies allow the website to remember choices you make and provide enhanced, more personal features.
These cookies are used to deliver adverts more relevant to you and your interests.
Compliance First is Scotland's leading provider of compliance and business support services to directly authorised financial advisers.
We’re looking for a proactive, energetic, and talented compliance professional with first class communication and relationship-building skills, to join our team of Field Based Compliance Consultants who deliver a market leading compliance service to directly authorised adviser firms.
This is a field based role supporting our member firms (IFA's / Mortgage Advisers) in Glasgow and the Central Belt therefore you'll ideally reside in or around this region. You'll support our client firms on their premises or remotely, from home.
As an integral member of the Consultancy Services Team you’ll ensure we provide business and compliance solutions to the firms we support, helping them develop, monitor, and maintain compliance standards to mitigate risks within their business.
You are a self-starter, you have a breadth of technical compliance and industry knowledge and you are passionate about compliance. You are comfortable problem solving, delivering bespoke compliance services, drafting reports and action plans and delivering a T&C Service.
What you'll be doing
Developing and maintaining robust relationships with our clients and member firms, increasing knowledge and understanding of their business
Creating and delivering an appropriate programme of services and visits to meet the requirements of firms through effective planning, organisation, and time management
Analysing client issues and assisting n problem solving via a consultative approach
Providing support to clients during times of regulatory and business change and updating firms of any relevant regulatory and / or legislative changes during visits
Producing and delivering accurate reports and action plans to provide clear, practical solutions to specific business needs for member firms to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
Ensuring delivery of T&C Services with effective delivery of training needs analysis, skills assessments, one to ones and development plans.
What you need to succeed
Diploma in Financial Planning or equivalent
Experience working in a regulatory / compliance environment Knowledge of IFA markets, including providers / lenders
Broad technical knowledge across all product areas
You’re customer centric to the core
Strong relationship building and collaboration skills
Exceptional communication skills, both written and verbal
Excellent time management and organisation skills
Comfortable working under pressure
A passion for problem-solving and building solutions
Capable of creating and delivering compelling presentations and running efficient and productive meetings
The ability to work efficiently and independently within an agile, remote working environment
Nice to haves
G60, AF3 or AF7 qualifications
Knowledge of DFM / DIM markets
Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010.
We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership.
We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do.
For these reasons we strongly encourage suitably qualified applicants from a wide range of backgrounds.
Compliance Development Manager