Senior Compliance Consultant

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

Location: Scotland, GB

Posted Date: 1/30/2025