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Compliance Consultant

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  • Job title Compliance Consultant
  • Location Edinburgh
  • Job status Permanent
  • Category Risk & Compliance
  • Contact Suzanne Ramsay
  • The Company
    This is a small, expanding asset manager who offers a supportive, friendly environment and the ability to develop skills and experience due to the varied responsibility and cross over with different departments. They offer an excellent salary and benefits package including discretionary bonus.
  • The Role
    This is an excellent opportunity to join a small and growing asset manager based in the city centre.
    The main function of this role is to ensure that the firm complies with its regulatory responsibilities and that it is managing its regulatory risks appropriately.

    This position is very varied will provide assistance in all regulatory matters with a high level of autonomy:

    - Review of regulatory developments and assessing the impact on the business
    - Manage the implementation of regulatory changes across the business
    - Take part in business projects to provide regulatory and operational risk input
    - Provide regulatory advice to the business
    - Provide reporting to both Committees and Boards on areas of responsibility
    - Maintain the group compliance manual
    - Provide regulatory oversight of outsourced service providers
    - Review and sign off on financial promotions
    - Responsible for new client take on including all AML documentation
    - Development of regulatory and operational risk MI for the business
    - Assist with the development of standard MI for the business
    - Provide regulatory training as required
  • The Person
    - Degree qualified or good academic record
    - At least 3 years compliance experience gained within the investment management industry
    - Understanding of the UK regulatory regime
    - Ideally understanding of US regulatory regime
    - Great communication skills
    - Ability to work independently
    - Good analysis skills
  • ID 3506

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