Overview

We are exclusively recruiting for a wealth management firm based in Edinburgh who are looking for a Compliance Analyst to join their growing business in a generalist compliance role. Previous experience working within a similar IFA business is a must.

Main Responsibilities:

  • Carry out File Checking and DB Pension transfer checking.
  • Ensure the company adheres to internal policies and procedures and revise/develop where necessary
  • Manage the company’s Treating Customers Fairly and Conduct Risk strategy
  • Undertake Complaint investigations in accordance with DISP
  • Manage the AML procedures
  • Provide regulatory guidance to the business
  • Ad hoc duties supporting the Head of Compliance as and when required.

Job Requirements:

  • Minimum 2 years Compliance experience within a similar IFA or Wealth Management environment
  • Strong experience of File Checking & DB Pension Transfer checking is essential.
  • Good knowledge of FCA Handbook, particularly COBS, DISP, SYSC
  • Excellent communication skills, both written & verbally.

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Apply for this role through this job post or email an application to jobs@clarcrecruitment.com

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