Compliance Officer

Posted 5 days ago by REED
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Our Client is a leading Wealth Management firm offering combined Financial Planning and Investment Management solutions are seeking an experienced Compliance Manager to join their Edinburgh office

Job Specification

• Ensure that the firm maintains accurate, detailed and up to date compliance records across all areas of the firm’s business

• Ensure the firm can respond to requests for information from the FCA and provide the requisite notifications to the FCA

• Ensure appropriate ethical standards exist within the firm

• Ensure knowledge of the necessary regulatory requirements is kept up to date

• Report to the firm’s senior management team on a regular basis on all relevant compliance issues

• Produce a formal compliance report for the firm’s Board on a monthly basis

• Chair and report to the firm’s Risk Committee referencing key risks as outlined within the risk register

• Manage relationship with the FCA to ensure requirements of Principle 11 are continually met

• Monitor the firm’s Training & Competence Scheme ensuring that all relevant individuals are FCA registered and sufficient records are maintained

• Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times

• Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all times

The Candidate

To be considered for this role you will need the following:

• A minimum of 5 years in a compliance role in an IFA or Wealth Management environment

• A good understanding of recent and forthcoming regulation and business change implications and/or risk functions design and change

• Practical application experience of the FCA handbook

• Able to use the FCA’s Gabriel reporting system

• Experience of Adviser Office and Volume is desirable


• Chartered Status/Advanced Diploma in Financial Planning or equivalent desirable

• Minimum requirement of Level 4 Diploma in Financial Planning or equivalent desirable

• AF3 or equivalent Pension Transfer qualification desirable

• AF6 or equivalent senior management and supervision qualification desirable

Reference: 37331675

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