Current jobs related to Regulatory Compliance Consultant Financial - Edinburgh - Denholm Associates

  • Compliance Associate

    7 days ago

    Edinburgh, United Kingdom Gem Compliance Consulting Ltd Full time

    Gem Compliance is a leading compliance and regulatory consultancy. It provides bespoke, tailored compliance solutions for small to medium sized financial services firms including investment advisory and management firms, insurance intermediaries, consumercredit businesses and authorised professional firms. We are recruiting for further experienced...

  • Esg Regulatory Management Consultant

    2 weeks ago

    Edinburgh, United Kingdom CAPCO Full time

    **Scotland - Hybrid** **ABOUT CAPCO** Capco is a global business, data and technology consultancy, focused on the Financial Services sector. We are passionate about helping our clients succeed in an ever-changing industry. We are: - Experts in banking and payments, capital markets and wealth and asset management - Deeply knowledgeable in financial...

  • Management Consultant

    2 weeks ago

    Edinburgh, United Kingdom CAPCO Full time

    **_Scotland based role - Hybrid_** **About Capco** Capco is a global technology and business consultancy, focused on the financial services sector. We are passionate about helping our clients succeed in an ever-changing industry. We are: - Experts in capital markets, banking and payments and wealth and asset management - Deeply knowledgeable in financial...

  • Financial Planning Compliance Officer

    1 week ago

    Edinburgh, United Kingdom Calton Full time

    Job Summary We are seeking a diligent and detail-oriented Compliance Officer to oversee and ensure adherence to regulatory standards within a growing Financial Planning firm. The successful candidate will play a vital role in maintaining the integrity of our operations by implementing effective compliance management strategies, conducting internal audits,...

  • Regulatory Finance Lawyer — Associate

    2 weeks ago

    Edinburgh, United Kingdom Financial Conduct Authority Full time

    A financial regulatory body in Edinburgh is seeking a Lawyer – Associate to provide legal advice on complex financial regulation issues.If your skills, experience, and qualifications match those in this job overview, do not delay your application.The role involves influencing legislation, advising on compliance, and collaborating with various...

  • Financial Planning Compliance Officer

    1 week ago

    Edinburgh, United Kingdom Calton Full time

    Job SummaryWe are seeking a diligent and detail-oriented Compliance Officer to oversee and ensure adherence to regulatory standards within a growing Financial Planning firm. The successful candidate will play a vital role in maintaining the integrity of our operations by implementing effective compliance management strategies, conducting internal audits, and...

  • Financial Planning Compliance Officer

    1 week ago

    Edinburgh, United Kingdom Calton Full time

    Job SummaryWe are seeking a diligent and detail-oriented Compliance Officer to oversee and ensure adherence to regulatory standards within a growing Financial Planning firm. The successful candidate will play a vital role in maintaining the integrity of our operations by implementing effective compliance management strategies, conducting internal audits, and...

  • Financial Planning Compliance Officer

    2 weeks ago

    Edinburgh, United Kingdom Calton Full time

    Job SummaryWe are seeking a diligent and detail-oriented Compliance Officer to oversee and ensure adherence to regulatory standards within a growing Financial Planning firm. The successful candidate will play a vital role in maintaining the integrity of our operations by implementing effective compliance management strategies, conducting internal audits, and...

  • Financial Planning Compliance Officer

    2 weeks ago

    Edinburgh, United Kingdom Calton Full time

    Job SummaryWe are seeking a diligent and detail-oriented Compliance Officer to oversee and ensure adherence to regulatory standards within a growing Financial Planning firm. The successful candidate will play a vital role in maintaining the integrity of our operations by implementing effective compliance management strategies, conducting internal audits, and...

  • Financial Planning Compliance Officer

    1 week ago

    Edinburgh, United Kingdom Calton Full time

    Job SummaryWe are seeking a diligent and detail-oriented Compliance Officer to oversee and ensure adherence to regulatory standards within a growing Financial Planning firm. The successful candidate will play a vital role in maintaining the integrity of our operations by implementing effective compliance management strategies, conducting internal audits, and...

Regulatory Compliance Consultant Financial

2 weeks ago

Edinburgh, United Kingdom Denholm Associates Full time

We currently have an excellent opportunity with one of the world's largest financial service organisations, who are looking to recruit a Regulatory Compliance Consultant to join their Marketing Communications Compliance function within the Product and Governanceteam.
You will be required to ensure that material issued to customers is clear, fair and not misleading to meet our clients regulatory obligations and to allow customers to make informed choices about products and services.
Key responsibilities will include, but are not limited to:

- Quality Sample material approved by accredited members of the marketing teams (and those seeking accreditation) to ensure the material meets regulatory rules/guidance and company standards/policies
- Undertake accreditation checks for those seeking accreditation to ensure assets are fully compliant and internal process and procedures are being followed
- Basic training for those seeking accreditation to increase their knowledge and understanding of the rules and guidance issued by the FCA on financial promotions
- Review and approve pre-sale product disclosure documentation and customer facing financial promotions.
- Provide customer focused, professional, creative and pragmatic advice and guidance to Marketing staff in relation to financial promotions
- Maintain and continue to develop a thorough knowledge of all relevant product, regulatory requirements, UK legislation, industry guidance and compliance policy
- Understand the department operating procedures and follow these when undertaking relevant tasks
Key skills and experience we are looking for:

- Excellent communications skills, a strong attention to detail and good problem solving skills
- Strong organisational skills, with an ability to meet challenging deadlines.
- A strong understanding/ knowledge of customer information needs and the need to tailor communications to the customer
- A strong understanding/ knowledge of FCA handbook of principles, rules and guidance (scope and structure)
- Experience in existing regulatory and industry compliance and/or marketing advertising knowledge
- Educated to at least A-level standard (or equivalent) with good level of English
- A strong knowledge/understanding of how to recognise and report breaches of the financial promotion rules in accordance with procedures
Sound like you? If so, we'd love to discuss in more detail
Please get in touch with