Compliance Officer

Edinburgh, Scotland / Glasgow, Scotland
GBP50000.00 - GBP60000.00 per annum
04 Jul 2022
11 Jul 2022
Jayh Karia
Where will they be working?
Hybrid - mostly home
Full Time

Job: Compliance Officer

The Compliance Officer position sits within the the company's wider UK Compliance function and will report to the Head of Compliance.

The position informs and supports the delivery of the Annual Compliance Program for the wider company.
This includes:

  • Code of Ethics Policy Oversight
  • Compliance Training for 1st line, Policy Management
  • Ongoing SMCR oversight
  • Regulatory Reporting Oversight
  • Ongoing business support.
  • Work with various Compliance units globally to drive best practice in 2nd line oversight.

For this position it is expected that candidate would require

  • Knowledge of UK regulation (knowledge of US regulation would be good).
  • Knowledge of asset management business helpful
  • Strong written / oral communication skills

As part of the the Compliance Function the role will be required to

  • Inform and support delivery of the UK Annual Compliance Program.
  • Maintain excellent standard of documentation with respect to all of your compliance activities to provide a clear audit trail.
  • Drive improvements in the compliance program to keep abreast of market standards.

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