COMPLIANCE MANAGER

Recruiter
Core Asset Consulting
Location
Edinburgh City Centre, UK
Salary
Competitive
Posted
09 Dec 2018
Closes
01 Dec 2018
Ref
1024731979
Contract Type
Permanent
Hours
Full-time
Job description: If you have experience in the compliance field, working within the wealth management or financial planning sector and looking for your next challenge, we have the role for you Supporting a national and highly regarded firm based in Edinburgh, you will be instrumental in providing compliance assurance and advice to the team. A strong knowledge of the industry and pension transfers is essential. Essential: Experience and knowledge of the regulatory requirements for the provision of financial advice and associated products. Must have experience of the private client financial planning sector including complex areas such as pension transfers as well as overall service provision including portfolio management covering regulatory aspects such as suitability and training and competence. Good knowledge and understanding of relevant products and services. Relevant Financial Planning qualifications essential including a minimum level 4 post RDR qualification. Desirable: Advanced qualifications including AF3/AF6 for example Core

responsibilities:
Provide compliance expertise for policy and processes for the wealth management and financial planning functions. Have primary responsibility for the ongoing development and execution of a timetabled risk- based monitoring plan focusing on this area of business. Identify means by which the programme can be developed to provide greater focus on risk areas. Assist in training of relevant staff, including compliance colleagues, to broaden sector knowledge. Provide routine information on reviews to senior management Deliver agreed, robust, consistent management information to enable focus to be given to. Provide written feedback in respect of trends identified. Where appropriate to liaise on a one-to-one basis with advisers, compliance colleagues and wider areas of the business. Benefits: Competitive salary and benefits Job reference 11485 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. By engaging with us (either by applying for a job we're advertising, registering through our website, or getting in touch with our business) you're agreeing to be bound by this policy. Core-Asset Consulting is committed to protecting the privacy of our candidates, clients and website users. For further information, please refer to our full Privacy Statement available on our website