Senior Compliance Consultant

4 weeks ago


Scotland, United Kingdom Clayton Davies Full time

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


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