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.
- Carry out File Checking and DB transfer checking.
- 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
- Ad hoc duties supporting the Head of Compliance as and when required.
- Minimum 2 years Compliance experience within a similar IFA or Wealth Management environment
- Strong experience of File Checking & DB Transfer checking is essential.
- Good knowledge of FCA Handbook, particularly COBS, DISP, SYSC
- Excellent communication skills, both written & verbally.
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