Senior Associate – Compliance

The Scottish National Investment Bank plc; Glasgow; Hybrid; GBP 61,000 - 71,000; Full time

Benefits offered by this job

30 days annual leave plus public holidays

12% non-contributory pension

Volunteer days

Job summary

A financial services institution is looking for a Senior Associate in Compliance to support regulatory obligations and enhance risk management culture. This role offers a salary range of £61-71k, 30 days of annual leave plus public holidays, and a 12% non-contributory pension among other benefits. Candidates must have experience in a compliance function within UK financial services, and the organization supports hybrid working and flexible patterns.

Qualifications

• Experience in compliance within a UK regulated financial services organization.
• Desirable experience in investment management or investment banking.
• Ability to manage multiple priorities and deliver under pressure.

Responsibilities

• Support regulatory compliance and provide advisory to business areas.
• Administer the Compliance Monitoring Plan and support reporting.
• Manage personal account dealing and review promotional materials.

Skills

Compliance function experience

Investment management experience

Written and verbal communication

Attention to detail

Organizational skills

Discretion with sensitive information

Team player

Job description

The Scottish National Investment Bank is seeking a Senior Associate - Compliance to join our Governance, Legal, Risk & Compliance (GLRC) function during an important period of organisational delivery and evolution.

Reporting to the Head of Compliance, this role plays a key part in supporting the Bank's regulatory compliance obligations, strengthening conduct risk management, and embedding a strong, ethical and compliant culture across the organisation.

This is an excellent opportunity for an experienced compliance professional who enjoys working in a hands‑on, advisory role within a regulated financial services environment.

We welcome applications from candidates who believe they can excel in this role, even if you do not meet every requirement. We value diverse experience and perspectives and encourage applications from all backgrounds.

Key Responsibilities

Regulatory Compliance & Advisory

• Support the Head of Compliance across all aspects of financial services regulatory compliance, including the development of effective compliance infrastructure, processes and controls.
• Provide day‑to‑day advice and support to business areas on regulatory and compliance matters, liaising with internal teams, external advisers and industry bodies as required.
• Maintain oversight of regulatory developments, ensuring emerging requirements are tracked and communicated appropriately.

Monitoring, Assurance & Reporting

• Administer the Compliance Monitoring Plan, including undertaking monitoring reviews and sampling to provide assurance to Executive Committee and Board‑level committees.
• Support the preparation of monthly and quarterly Compliance MI for ExCo, the SIL Board and the PLC Risk Management & Conflicts Committee.
• Maintain key compliance registers, including Conflicts of Interest, Breaches and Complaints.
• Support the design, administration and delivery of the Bank's regulatory and enterprise risk training programme, including induction and ongoing training.
• Maintain training records and materials, including use of the VinciWorks platform.
• Support ongoing compliance with financial crime prevention legislation, including maintenance of policies, BWRA / RCSA components and the MLRO Annual Report.

Operational Compliance Support

• Manage personal account dealing and securities trading records, including administration of Information Barriers and the Restricted List.
• Review and approve marketing and promotional materials in line with Financial Promotions and Communications policies.
• Support 'four‑eyes' quality control checks of Investment Origination and Portfolio KYC files, proactively escalating issues where required.

Key Skills and Experience

• Previous experience working within a compliance function in a UK regulated financial services organisation.
• Experience in investment management and/or investment banking environments is desirable.
• Demonstrable written and verbal communication skills, with the ability to engage confidently with a range of stakeholders.
• High attention to detail and a methodical, organised approach to work.
• Ability to manage competing priorities and deliver to deadlines in a pressured environment.
• Comfortable handling sensitive and confidential information with discretion.
• Self‑motivated, proactive and able to work effectively on own initiative as well as part of a team.

What We Offer

At the Scottish National Investment Bank, we offer a supportive culture that values your expertise and autonomy, encourages continuous learning, and provides opportunities for meaningful work. The salary range is £61‑71k, depending on experience, with additional benefits including 30 days annual leave plus public holidays, a 12% non‑contributory pension, volunteer days, and more. We operate a hybrid working model and are open to discussing flexible working patterns.

If you are eligible under the Disability Confident Scheme or need any adjustments to support your application, please reach out to us. We are committed to providing the support needed for you to participate fully in our recruitment process.

Ref: JN-022026-465831_1771925849

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