Compliance Manager - FCA & Training | Hybrid, Edinburgh

Eden Scott; United Kingdom; Hybrid; GBP 40,000 - 55,000; Full time

Job summary

A growing financial advice firm in the United Kingdom is seeking an experienced Compliance professional to ensure high standards of regulatory adherence and operational integrity. This role involves collaborating with senior leadership, overseeing advice and sales procedures, conducting audits, and providing compliance updates. Candidates should have at least two years of experience in a financial planning or IFA environment and a strong knowledge of FCA regulations. The position offers an attractive salary, benefits, and a hybrid work model.

Benefits

Attractive salary

Benefits package

Hybrid working

Qualifications

• Minimum two years' experience in a financial planning or IFA environment.
• Strong knowledge of FCA regulations and compliance principles.
• Experience in internal audits and regulatory reporting.
• Excellent organisational and communication skills.
• Professional compliance qualifications are desirable but not essential.

Responsibilities

• Ensure compliant advice and sales processes are in place and followed.
• Identify and mitigate risks to the firm and its clients.
• Maintain SM&CR documentation and competency records.
• Review client files and monitor training and competence frameworks.
• Provide compliance updates and prepare quarterly MI reports for the board.
• Support junior financial planners in achieving competency.

Job description

A growing financial advice firm in the United Kingdom is seeking an experienced Compliance professional to ensure high standards of regulatory adherence and operational integrity. This role involves collaborating with senior leadership, overseeing advice and sales procedures, conducting audits, and providing compliance updates. Candidates should have at least two years of experience in a financial planning or IFA environment and a strong knowledge of FCA regulations. The position offers an attractive salary, benefits, and a hybrid work model.