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Compliance Manager

  • Location: Edinburgh
  • Salary: c.£65,000 + 20% Bonus + Benefits per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Expiry Date: 16 July 2021
  • Job Ref: PC/17614E

Holding senior management Functions 16 & 17, the role holder will be responsible for compliance in up to 5 personal Investment Firms (IFAs) i.e. ensure they meet regulatory obligations.

Key responsibilities include:


  • Implementation of the company’s compliance Framework with each regulated entity
  • Advising each firm on compliance and business standards to ensure these align to regulatory requirements
  • Ensuring suitable compliance policies and procedures are in place
  • Ensuring regulatory obligations under the Senior Managers and Certification Regime are met
  • Supporting firms in all compliance matters
  • Overseeing the implementation of suitable financial crime controls
  • Overseeing the implementation of suitable training and competence arrangements
  • Ensuring the firms’ activities are appropriately monitored
  • Advising firms on group policy and FCA requirements
  • Approving financial promotions
  • Contact point for FCA
  • Delivery of suitable compliance training to staff
  • Investigation of breaches
  • Investigation of complaints
  • Maintenance of central registers complaints, breaches, conflicts of interest

The Person:

  • At least 5 years’ experience of compliance within the IFA sector
  • Previously held CF10/11 or SMF 16/17 (preferable)
  • Detailed knowledge of FCA requirements relation to investment advisers and portfolio managers


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.