Compliance Officer – IFA Experience Required

Edinburgh, City of Edinburgh
£30K-£35K + Bonus & Benefits
09 Oct 2020
08 Nov 2020
Contract Type
Full Time

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.

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