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Head of Compliance, based Central Belt or Aberdeen

Job description

Idex Consulting are searching for a Head of Compliance for this Scottish based wealth planning business.

They have offices throughout Scotland and you can be based in either Glasgow, Edinburgh, Stirling or Aberdeen in a hybrid model.

The role will be to maintain governance, risk and compliance solutions for the FCA regulated parts of the business of wealth management, mortgages and lender Services.

The successful candidate will have knowledge and experience of the FCA compliance regime and will hold SMF16 for the business.

The ideal candidate will be Scotland based, but be happy to travel, as required.

The role will involve:

  • Developing and delivering a strategy for the Compliance Team.
  • Delivering key performance metrics and managing targets within the team to ensure governance, risk and compliance targets are met.
  • Leading the firm's production of management information
  • Complete familiarisation with all client service level agreements in place.
  • Ensuring all firm's FCA regulated policies and procedures are adhered
  • Liaising regularly and where appropriate with all key stakeholders to facilitate review meetings, compliance audits, training and competency.
  • Responsible for the result of all compliance audits, implementing any required changes, following up all actions and ensuring any issues raised are rectified through changes to process or system amendments.
  • Co-ordinating one to one and appraisal reviews with all senior management functions. Feeding back any performance or personnel issues to the Management Committee.
  • Leading the implementation of a complaints policy from clients of the firm and customers of our financial services clients, including dealing with the Financial Ombudsman Service.
  • Considering on a regular basis improvements to processes to streamline services and co-ordinating the implementation of same.

This is an opportunity to join a very well known and thought of business with excellent scope for progression.

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At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.