Ethics and Compliance Manager

1 month ago


Aberdeen, Aberdeen City, United Kingdom IDEX Consulting Full time

The role of Ethics Supervisor at IDEX Consulting involves overseeing the performance and competency of Planners within the Financial Planning Team. Key responsibilities include:

Key Responsibilities
  1. Supervising IFA's in line with FCA training and competence requirements
  2. Identifying training needs for the IFA's
  3. Conducting quarterly KPI meetings with all IFA's and 1-2-1's
  4. Delivering training to improve the quality of advice given
  5. Organising individual training plans
  6. Analysing KPI information
  7. Documenting records on all requirements
  8. Preparing quarterly reports on team performance
  9. Carrying out pre and post new business file checks
  10. Carrying out annual review file checks
  11. Sitting in client meetings for observation.

This is an excellent opportunity to develop and grow within a successful organisation that values employee development.



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