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Investment Operations (Back Office)


Compliance Monitoring (Back Office)



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Job Description:

Core Asset's client is currently recruiting for a Senior Compliance Assurance Consultant to review themes and processes around issues with regulatory compliance and conduct risk across the whole of the business. This is a great role for someone with internal audit or compliance monitoring experience, who is keen to work in a busy and ever changing environment.

Essential Skills/Experience:

  • Relevant industry experience, preferably in a Compliance Monitoring/Assurance role or Internal Audit background.
  • Strong understanding of financial services, specifically Life and Pensions and/or Asset Management knowledge, as well as knowledge of product administration processes and outsourced service arrangements.
  • Strong knowledge of the Statutory and Regulatory framework applicable, including FCA, TPR and PRA rules and guidance.
  • Ability to manage and prioritise tasks and adapt to the changes in demand and priority.
  • Ability to work on own initiative with limited supervision.
  • Customer and conduct risk focused.
  • Excellent organisational and planning skills, including the ability to work under pressure, meet deadlines and be self-directing.
  • Strong team working, influencing and interpersonal skills.

Desirable Skills/Experience:

  • As per the job profile or consultant notes

Core Responsibilities:

  • Plan, undertake and deliver all types of compliance assurance reviews in line with current team processes. This includes interacting with senior management within the business and, where relevant, outsourced service providers.
  • Deliver reviews efficiently and within agreed timeframes.
  • Draft reports to a standard appropriate for board level review.
  • Ensure that where management actions are identified that these are tracked to resolution and escalated where necessary.
  • Provide regular updates and support to the Head of Assurance in reporting to key committees as required for Compliance Monitoring.
  • Lead more junior compliance assurance consultants in the conduct of reviews and other conduct and compliance related tasks.
  • Contribute to wider Conduct and Compliance and Group Risk projects, as required.


  • A highly competitive salary
  • Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 13974

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.



T: 0131 264 0238 M: 07535 897 729
Kim Bower Business Manager, Middle Office Asset Management & Legal

Kim joined Core-Asset Consulting in 2008 post-graduation.

Kim specialises in recruiting experienced individuals into middle office technical roles together with managing all Legal recruitment requirements with clients.

Kim has a professional and proactive approach ensuring candidates and clients always receive the highest standards of service.

We put people before profit, service before sales and ethics above all.

Betsy Williamson Managing Director

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