Compliance Officer - Financial Planning

 Location: Edinburgh
 Salary: Excellent
 Job type: Permanent
 Closes: closed

Compliance Officer – Financial Planning

Permanent (Full time or part time)

Excellent Salary & fantastic benefits



Meraki Talent are currently recruiting on behalf of a prestigious investment management firm seeking a driven and committed compliance professional to join them as Compliance Officer / CF10 to work with them on a full or part time basis.


You will have day-to-day oversight responsibility of compliance and regulatory issues.


Responsibilities of the Compliance Officer – Financial Planning:

  • Ensure that the firm maintains accurate, detailed and up to date compliance records across all areas of the business
  • Ensure the firm can respond to requests for information from the FCA and provide notifications to the FCA
  • Produce a formal compliance report for the firm’s Board on a monthly basis
  • Chair and report to the firm’s Risk Committee referencing key risks as outlined within the risk register
  • Manage relationship with the FCA
  • Monitor the firm’s T&C Scheme ensuring that all relevant individuals are FCA registered and sufficient records are maintained


Background of the Compliance Officer – Financial Planning:

  • Experience in a compliance role in an IFA or Wealth Management environment
  • Practical application experience of the FCA handbook
  • Able to use the FCA’s Gabriel reporting system
  • Experience of Adviser Office and Volume is desirable


A minimum requirement of Level 4 Diploma in Financial Planning or equivalent desirable, as is AF3 or equivalent Pension Transfer qualification.


If you have the relevant experience, contact Chris Wilson for a confidential chat.


Is this job for you? 


Chris wants: Regulatory Compliance, Financial Planning, Pension Transfers, Compliance Officer, CF10


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Business Manager – Governance, Risk & Compliance

Chris Wilson

Based in our Glasgow office, Chris has been a part of the Meraki Talent team since 2015. Chris manages a team of GRC recruitment specialists servicing Scotland's fast-growing risk & compliance market. He works with top-tier banks, life companies, wealth managers and fund managers to source top risk and compliance talent. Chris started his recruitment career after graduating in 2010 with a degree in Statistics from the University of Glasgow.