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Compliance Officer

eFinancialCareers
Job LocationEdinburgh
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

  • Overall responsibility for all regulatory policy and compliance matters
  • To act as the main point of contact with the FCA and any other applicable bodies either through correspondence or in the event of any regulatory inspection to assist with any such undertaking.
  • Acting as Money Laundering Reporting Officer
  • Overall responsibility for our policies and procedures for countering the risk that we might be used to further financial crime
  • Liaising with the Chairman (and Finance Director) in relation to all regulatory returns, resources and ICAAP
  • Management and conduct of Regulatory Services business including training of external Appointed Representatives, completing all necessary regulatory returns and oversight of Appointed Representatives as required
  • Liaising with external compliance consultants where required
  • Updating of compliance manual and procedures
  • Maintaining and improving the compliance monitoring programme, preparing Compliance and AML Reports for the Board and annual compliance policy updates.
  • Monitoring of the regulatory environment to deal with any changes that might affect the business
  • Reporting to the board on compliance and MLRO activities quarterly and preparing board reports as required
  • Maintenance and updating of risk database
  • Maintaining the various regulatory registers such as Breaches, Complaints, Gifts etc.
  • Monitoring of website and other marketing material/financial promotions as required
  • Supervision of all employees to ensure compliance with all procedures
  • Organisation of training for staff and in particular annual AML training
  • Monitoring of the regulatory environment to deal with any changes that might affect the business
  • Negotiate a wide scope of agreements such as third-party marketing agreements, research agreements, IMAs, management company contracts etc.
  • Providing strategic, operational and technical compliance advice to the Board, Executive Committee and Senior Managers
  • Oversight of external outsource providers and liaison with them as required

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