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Compliance Consultant

Thornbury Recruitment Ltd
Job LocationGlasgow
EducationNot Mentioned
Salary40,000 - 50,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Compliance Consultant - GlasgowUp to £50,000 plus benefits Compliance professional required by a growing wealth management firm based in GlasgowYou will be responsible for managing risk, compliance, governance, regulations and monitoring behaviours and practices within the firm.Responsibilities include:

  • Day to day delivery of the compliance monitoring programme
  • Monitor adherence of Compliance regarding TCF, T&C and Financial Crime procedures of the
  • firm at all times.
  • Supporting the implementation of the companys compliance strategy and infrastructure
  • Supporting with regulatory issues affecting the business and assist the business with management of compliance risks
  • Assist with firms adherence to FCA complaints handling rules and the maintenance of accurate records, ensuring the firms complaints register is kept up-to-date
  • Ensure knowledge of the necessary regulatory requirements are kept up to date.
Experience required:
  • A good understanding of how wealth management firms operate
  • Experience of working in a compliance role
  • A good understanding of Pensions and Investments
  • Progress towards CII or ICA qualifications would be advantageous
To find out more about this opportunity please contact Paula ThornburyThornbury Recruitment is a recruitment agency that specialises in the wealth management sector. Thornbury Recruitment operates as an Employment Agency in providing permanent job seeking services.

Keyskills :
ComplianceWealth Management

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