Group Compliance Manager Glasgow   £DOE

Our client a well respected composite broker is seeking a compliance manager for their Glasgow branch

The successful applicant will assist Senior Management in ensuring all business is completed in a compliant manner and ensure the rules and principles set by the FSA are being observed.  The applicant will maintain Company processes to ensure that the company continues to operate legitimately.

The applicant must be able to digest, understand and summarise technical information from the FSA. 

The successful individual will have duties and qualities, which include:
* Broad technical knowledge of financial products and how they are sold - having Diploma status would be preferred although not mandatory
* Monitoring the sales process
* Completing regular file checks
* Carrying out adviser 1-1 meetings
* Completing adviser assessed field visits/role plays
* Signing off promotional literature and disclosure documents
* Taking new advisers through to competent status
* Investigating client complaints and any suspected FSA breaches
* Completing annual documents/reports required by FSA i.e. Contingency Plan, RMAR
* You will have the ability to check compliance in the IFA, Mortgage and General Insurance channels of their business

Ref: 333

Job Reference:   333

Closing Date:     19-Apr-2010

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