Job Summary

Compliance Manager

Dundee | - £50k-£65k | Finance

Recruiter: Lusona LLP

Lusona Financial Services are looking for an experienced financial services training and compliance manager for a Scotland wide role. You will work as part of a well regarded independent financial advice business, that offers private client advice across the whole of the country.

The IFA business has a long trading history and are part of a larger group of businesses, which has allowed the financial planning business to flourish even during uncertain times. Their financial advisers provide advice in all areas of pension, investment, inheritance tax and capital gains tax planning.

Your role will be broad and varied, where they would ideally like to find someone with experience in some or all of the following areas:

  • Supervision of the company’s training and compliance regime
  • Field based training and compliance for a team of financial planners
  • Observation of client meetings with advisers
  • Approval of complex case files
  • Ideally as a pension transfer specialist (not essential)
  • Completion of FCA returns
  • Complaint handling
  • Ongoing development and creation of new compliance processes

The position would... More

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