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Compliance Advisor (12 month FTC)

Location: Glasgow (Flexible working options available)

Salary: £35k to £45k DOE per annum

Experience: Compliance/Financial services/Wrap Platforms/Second line support/Conducts of business

A bit about the role ….

  • Provide accurate, timely and informative advice to the business on regulatory matters and queries.
  • Act as compliance representative on various business-related projects.
  • Provide compliance approval for process changes, customer communications and new business initiatives.
  • Daily interaction with the risk event reporting process to ensure regulatory, statutory and legislative rule breaches are correctly identified and accurately reported.
  • Assist in the preparation of management information and regular reporting to senior management through the Executive risk and compliance committee, and Board.

A bit about you….

  • Team player sharing ideas to enhance across-team learning and business development.
  • Build and maintain relationships with internal and external stakeholders.
  • Detailed knowledge of the FCA Handbook - in particular COBS and CASS handbooks, MiFID 2, IFPR and SMCR.
  • Familiarity with some /all of: JMLSG requirements; Data Protection legislation; HMRC rules; ISA rules; and TPR requirements.
  • Detailed knowledge of SIPP and platform structures and associated products (e.g., ISA, GIA and Bonds).
  • Degree qualified graduate, with excellent PowerPoint/Word/Excel skills. Ideally holds a recognised professional qualification such as IMC or SII, or similar.
  • Excellent relationship building skills.
  • Strong written and verbal communication skills and ability to present to small groups.
  • Good analytical and problem-solving skills.
  • Strong negotiation and conflict resolution skills.
  • Excellent attention to detail.
  • Ability to work on own initiative and independently when required.
  • Able to prioritise the high impact work, and work under the pressure of short or changing deadlines without impacting quality or accuracy.

If you feel like you have what it takes to be successful within this role then please apply by sending your CV to sherelle.graham@search.co.uk and I will be in touch in shortly.

Please note that due to the expected high number of applicants I will be unable to contact everyone, so please assume that you have been unsuccessful if you have not been contacted within 7-10 days and I wish you every success in your job search.

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age