Job Description:

Our client, an Independent Financial Advisers, is looking for a Compliance Manager to join them. Based in Edinburgh, reporting to the Company Directors, you will have responsibility for the compliance function within the business. This role will require exceptional knowledge on UK regulation and ability to provide innovative ideas to implement these with a key focus on client outcomes.

Essential Skills/Experience:

• A number of years' experience working in a compliance role, with in financial services.
• Exceptional knowledge on UK regulations.
• Experience implementing improvements across a business.
• Excellent planning and organisation skills, able to manage competing priorities and multi-task as required.
• Excellent written and verbal communication skills, able to adapt your style and tailor messages to suit the audience.
• Have excellent stakeholder management skills, with an ability to create positive relationships with stakeholders at all levels, whilst managing their expectations.
• Have an analytical, methodical approach and be results focused you are someone who can be relied upon to deliver results.

Core Responsibilities:

• Responsibility for quality of business submissions
• Supporting the Managing Director carrying out SMF 16 and SMF 17
• Oversight on T&C scheme
• Responsibility for File Checking and Annual Review system
• Provide support on all correspondence and returns to the FCA
• Reviews of client files
• Maintain accurate CPD records
• Provide Technical assistance to advisers where required
• Support the delivery of SMF 16 and SMF 17 - this position will not hold these functions.
• Support the New Business process, ensuring that key documentation meets the standard required.
• Providing day to day support to advisers including regular one to ones, performance management and people development.
• Support and drive continuous improvement across the business

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: 14791

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.

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