Compliance Officer – File Checking & DB Transfer Experience Required Compliance Officer – File Checking & DB Transfer  …

CLARC Recruitment
à Édimbourg, Ecosse, Royaume-Uni
CDI, Plein-temps
Soyez parmi les premiers à postuler
£40K-£50K + Bonus & Benefits
CLARC Recruitment
à Édimbourg, Ecosse, Royaume-Uni
CDI, Plein-temps
Soyez parmi les premiers à postuler
£40K-£50K + Bonus & Benefits
Diffusée par:
Chris Clarke • Recruiter
Diffusée par:
Chris Clarke
Recruiter
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:

  • 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.

Job Requirements:

  • 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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