Compliance Officer – IFA Experience Required

Location
Edinburgh, City of Edinburgh
Salary
£30K-£35K + Bonus & Benefits
Posted
09 Oct 2020
Closes
08 Nov 2020
Ref
C267
Contract Type
Permanent
Hours
Full Time
Travel
None

We are exclusively recruiting for a wealth management firm based in Edinburgh who are looking for a Compliance Officer to join their growing business in a generalist compliance role. Previous experience working within a similar IFA business is a must.

Main Responsibilities:

  • Manage the day to day running of the Compliance framework
  • Ensure the company adheres to internal policies and procedures and revise/develop where necessary
  • Manage the company’s Treating Customers Fairly and Conduct Risk strategy
  • Undertake Complaint investigations in accordance with DISP
  • Manage the AML procedures
  • Provide regulatory guidance to the business
  • Provide day to day advice to advisory areas of the business on regulatory/KYC and AML matters
  • Manage the training and competency framework

Job Requirements:

  • Minimum 2 years Compliance experience within a similar IFA or Wealth Management environment
  • Professionally qualified or studying towards
  • Good knowledge of FCA Handbook, particularly COBS, DISP, SYSC
  • Excellent communication skills, both written & verbally.

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.

Apply for Compliance Officer – IFA Experience Required

Already uploaded your CV? Sign in to apply instantly

Apply




Upload from your computer

Or import from cloud storage

Your CV must be a .doc, .pdf, .docx, .rtf, and no bigger than 1MB


Upload from your computer

Or import from cloud storage

Your Supporting Document (optional) must be a .doc, .pdf, .docx, .txt, .rtf, and no bigger than 1MB


4000 characters left

All questions are required

Are you legally authorised to work in the UK full time without restriction?


Marketing Communication

We'd love to send you information about Jobs and Services from CareersinAudit.com by email.

All emails will contain a link in the footer to enable you to unsubscribe at any time.


When you apply for a job we will send your application to the named recruiter, who may contact you. By applying for a job listed on CareersinAudit.com you agree to our terms and conditions and privacy policy. You should never be required to provide bank account details. If you are, please email us.