Ethics and Compliance Manager

4 weeks ago


Glasgow, Glasgow City, United Kingdom IDEX Consulting Full time
Key Responsibilities
  • Supervising IFA's: Ensure compliance with FCA training and competence requirements.
  • Identifying Training Needs: Assess and address training requirements for IFA's.
  • Conducting Quarterly KPI Meetings: Meet with IFA's to discuss performance and development.
  • Delivering Training: Provide training to Planners and the wider team to enhance advice quality.
  • Organizing Individual Training Plans: Develop tailored training plans for IFA's.
  • Analyzing KPI Information: Review and analyze performance data.
  • Documenting Records: Maintain accurate records of requirements and progress.
  • Preparing Quarterly Reports: Compile reports on team performance.
  • Conducting File Checks: Review new business and annual review files.
  • Sitting in Client Meetings: Observe client meetings for training and development purposes.

This is an excellent opportunity to contribute to a growing and successful organization that values professional development and promotes from within.

For more information on our company culture and values, please visit our website.

We are committed to creating an inclusive and equitable work environment where everyone can thrive.



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