Edinburgh Compliance File Checker – Financial Services

Reed; Scotland; On-site; GBP 30,000 - 42,000; Full time

Benefits offered by this job

Health insurance

Pension scheme

Career development

Job summary

Reed in Edinburgh is seeking a Compliance File Checker to join our client's financial services team. The role focuses on meticulous reviews of compliance files, reporting non-compliance, and maintaining robust records to support process improvements.

The ideal candidate has 3-5 years of paraplanning or compliance experience, with strong regulatory knowledge, analytical ability, and excellent communication. A Level 4 Diploma is highly desirable and opportunities for professional qualification

Qualifications

• 3-5 years of paraplanning and/or compliance/file reviewing experience in financial services.
• Strong knowledge of regulatory requirements and compliance standards.
• Excellent analytical skills and attention to detail.
• Strong communication and interpersonal skills.
• Professional qualifications such as the Level 4 Diploma in Financial Planning are highly desirable.

Responsibilities

• Conduct detailed reviews of compliance files
• Identify and report non-compliance issues
• Maintain accurate records and provide feedback for process improvements
• Collaborate with various departments to address compliance concerns
• Stay informed about regulatory changes and industry best practices

Skills

Attention to detail

Regulatory knowledge

Analytical skills

Communication skills

Level 4 Diploma (desirable)

Education

Level 4 Diploma

Job description

Reed in Edinburgh is seeking a Compliance File Checker to join our client's financial services team. The role focuses on meticulous reviews of compliance files, reporting non-compliance, and maintaining robust records to support process improvements.

The ideal candidate has 3-5 years of paraplanning or compliance experience, with strong regulatory knowledge, analytical ability, and excellent communication. A Level 4 Diploma is highly desirable and opportunities for professional qualification