Wealth Management Compliance Manager

Recruiter
Eden Scott
Location
Edinburgh
Posted
23 Mar 2019
Closes
01 Apr 2019
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Our client, a leading, Scottish wealth management firm, are looking to add a wealth management compliance manager to their busy Edinburgh office. This role will give the right candidate the opportunity to flourish in a busy, but enjoyable, professional atmosphere. This role is available part or full time. Requirements To be considered for this role you must have a minimum of 5 years in a compliance role in an IFA or Wealth Management environment with a good understanding of recent and forthcoming regulation and business change. Other requirements include: Minimum requirement of Level 4 Diploma in Financial Planning or equivalent AF3 or equivalent Pension Transfer AF6 or equivalent senior management and supervision qualification Ability to use the FCA's Gabriel reporting system Experience of Adviser Office and Volume is desirable Good reporting skills Good communication and organisational skills Responsibilities In this role you will have a day-to-day oversight of compliance and regulatory issues, ensuring the firm maintains accurate and detailed compliance records across all areas of the firm's business. Other responsibilities include: Ensuring knowledge of the necessary regulatory standards exist within the firm Report to the firm's senior management team on a regular basis with all relevant compliance issues Produce monthly compliance reports for the firm's board Manage a relationship with the FCA ensuring requirements are continually met Monitor the firm's Training and Competence Scheme ensuring all relevant individuals are FCA registered and sufficient records maintained Benefits Competitive salary Discretionary bonus Pension plan Flexitime Private medical care Focus on training and development

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