CANDIDATE MUST BE BASED IN SCOTLAND

Our client, a successful compliance consultancy firm, are looking for a Senior Compliance Officer to join their growing team. You will work closely with financial advisory firms and discretionary investment management firms to ensure all things are compliant.

Key Responsibilities:

• Undertake day to day client management including supportive consultancy, firm audits & file checks
• Be capable of dealing with in-depth and highly technical compliance queries
• Have a comprehensive knowledge of FCA Handbook
• Be required to read and summarise important industry papers
• MiFIDPRU Knowledge desirable
• Be able to draft internal technical papers and contribute to manual/toolkit development
• Have existing knowledge /experience of Discretionary Fund Management & Retail Financial Advisers
• Operate at client offices or from home

Experience Required:

• Be qualified in the Diploma in Financial Planning (or equivalent)
• Advanced CII Qualification(s) desirable
• Possess excellent communication and consultancy skills