Compliance Manager

Michael Page Finance
05 Oct 2017
02 Nov 2017
Contract Type
Full Time

This is a fantastic opportunity for an ambitious Compliance Manager to be part of a team responsible for maintaining a compliant operation within Financial Services. The individual must have a sound working knowledge of the UK regulatory framework, and specific experience of compliance monitoring.

Client Details

My client is an Edinburgh based Financial Services client.


The Compliance Manager will be:

  • Responsible for all risk and compliance monitoring, reporting and tracking of actions.
  • Advising management and staff on the practical application of FCA rules, guidance and principles.
  • Assisting in the preparation of reports for governance committees and recording of minutes.
  • Reviewing policies, systems, processes and controls to ensure they reflect best practice, are up to date and operating as documented.
  • Working closely with the Head of Risk & Compliance to assist in the preparation of data as required.
  • Providing Risk & Compliance training, and acting as a contact point for compliance and risk queries.
  • Assisting with reporting to the FCA.
  • Track regulatory change projects within IFDS/DST.

  • Attending project meetings and identifying regulatory impact.
  • Updating Compliance and AML procedures for regulatory change.
  • Acting as a subject matter expert on AML, Complaints, Data Protection, Conflicts etc.
  • Prepare quarterly reports for the Board on compliance activities


The successful Compliance Manager will have:

  • Understanding of UK regulations
  • Experience of compliance monitoring in a risk-based framework, preferably within investment & asset management
  • Experience working with monitoring systems IFDS/DST
  • Good understanding of FCA compliance requirements
  • Ability to work independently and to show initiative
  • Ability to assimilate and analyse information
  • Excellent communication skills and a logical approach

Job Offer

  • An excellent opportunity to build and develop on current compliance experience.
  • Ability to gain exposure across to compliance across an organisation, and engage with members of staff up to board level.
  • Competitive salary DOE

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