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Role requirement

Vacancy type

Permanent

Sector

Investment Operations (Back Office)

Specialisim

Compliance Monitoring (Back Office)

Location

Edinburgh

Language skills

English

Job reference No.

13974

Salary

Competitive

Data Published

23/09/2021

Closing date

14/10/2021

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.

Benefits:

  • 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.


At Core-Asset, we're committed to protecting and respecting your privacy. Our privacy statement explains when and why we collect personal information about people who engage with our services, how we use it, the conditions under which we may disclose it to others, and how we keep it secure. We may change this policy from time to time, so please check this policy occasionally to ensure that you're happy with any changes.


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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.


INDPERM

Contact

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

Kim has been a dedicated member of Core-Asset Consulting for over 15 years, and her recruitment expertise spans several critical areas, including Legal, Risk & Compliance, Data, Governance, and ESG (Environmental, Social, and Governance).

Kim’s approach is authentic and people-focused, ensuring that every candidate and client receives honest, reliable, and professional service. This dedication to quality and integrity has cemented her reputation as a trusted advisor in the recruitment industry, driving successful placements and fostering enduring client partnerships. Her impact on the legal sector includes highlighting the opportunities in in-house legal roles, promoting flexible and remote working, and advocating for diversity and inclusion within the profession. Known for her professional and proactive approach, Kim consistently delivers the highest standards of service.

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

Betsy Williamson Chief Executive Officer

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