Investment Compliance Ana...
Eden Scott, Edinburgh
- Full time
- Permanent
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Posted 2 weeks ago, 24 Mar
Job ref: E170325
Full Job Description
Eden Scott's client is seeking a highly motivated and detail-oriented Investment Compliance Analyst to join a financial services company based in Edinburgh. As a key member of the Compliance team, you will work closely with the Compliance Manager to ensure adherence to regulatory requirements and promote a culture of compliance across the organisation. This role offers the opportunity for in-depth learning and professional growth within a dynamic and collaborative environment.
Key Responsibilities:
- Assist in fostering an effective risk and compliance-aware culture throughout the company
- Scope and deliver the Compliance Monitoring Plan, including the production of accurate monitoring reports and maintaining appropriate records of all monitoring activity.
- Maintain the Compliance Manual and Framework.
- Assist in regulatory scanning, impact assessment, interpretation, and implementation of financial services legislation and regulation.
- Draft and update policies, reports, and similar documents.
- Design, deliver, and monitor regulatory training and compliance attestations.
- Prepare periodic FCA regulatory reporting.
- Provide regulatory advice to the business and handle ad-hoc regulatory queries.
- Perform and review due diligence on suppliers, clients, and customers.
- Ensure prompt escalation of significant compliance issues.
- Assist with complaints handling.
- Prepare documents for Governance Committees, Audit & Risk Committee, and Board.
Person Specification
- Minimum of 2 - 3 years of experience in compliance, preferably within the financial services industry.
- Strong understanding of financial services legislation and regulation, particularly FCA regulations.
- Excellent analytical and problem-solving skills.
- Ability to work effectively both independently and as part of a team.
To Apply
This position may be just one of numerous opportunities we are handling that you could have an interest in pursuing. If you have not been in touch with us before, please call on 0131 550 1100 or drop off a CV to Karen.kerr@edenscott.com and we will make sure that most relevant Consultant gets back to you as soon as possible. Please note that we never send CVs anywhere without your prior consent
Eden Scott is an equal opportunity employer and welcomes applications from all qualified individuals.
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