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Compliance Manager

  • Location: Scotland
  • Salary: £550 per day per day
  • Job Type:Contract

Posted 22 days ago

  • Sector: Compliance
  • Contact: Richard Abelson
  • Contact Email:
  • Contact Phone: 0161 883 2748
  • Expiry Date: 26 June 2024
  • Job Ref: RA/11769

Compliance Manager, IFA/Wealth sector (contract role for 5 months)

Circa £550 per day or FTC

Scotland – Hybrid

A Compliance Manager is required for a leading national wealth management business in the UK. The role is based in Scotland with flexible working and the successful candidate will be responsible for regulatory compliance for a small number of IFA firms and with a high level of autonomy. This is a technical role suitable for candidates with at least 5 years of compliance experience within the IFA/wealth sector.

The successful candidate will ensure suitable compliance policies and procedures are in place, oversee the implementation of financial crime controls, and ensure that the firms' activities are appropriately monitored. The role holder will be the contact point for FCA and will be responsible for the delivery of compliance training to staff.

Required knowledge and experience for the Compliance Manager role:

  • At least 5 years’ experience of compliance within the IFA/wealth sector
  • Previously held CF10/11 or SMF16/17 (preferable)
  • Detailed knowledge of FCA requirements relating to Investment Advisers
  • Regulatory/Compliance qualifications e.g. ICA (preferable)
  • Adviser qualifications (preferable)

The ideal candidate will be immediately available and prepared to take on a short term contract for a maximum of 5 months. My client is open to recruiting someone on a day rate or a fixed term contract.

Applicants must be located and eligible to work in the UK without sponsorship.

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