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Alexander Mae (South West) Ltd
Edinburgh
Senior Business Assurance / Quality Review / Compliance / Financial Services Competitive Salary + Up to 25% Performance Bonus + Superb Benefits - Amazing package EDINBURGH & Home Working (minimum 2 days office based) Must have the level 4 Diploma and wants to work towards Chartered Status A superb opportunity exists to join a leading wealth man
Job Source: Alexander Mae (South West) LtdAlexander Mae (South West) Ltd
Edinburgh
Senior Business Assurance / Quality Review / Compliance / Financial Services Competitive Salary + Up to 25% Performance Bonus + Superb Benefits - Amazing package EDINBURGH & Home Working (minimum 2 days office based) Must have the level 4 Diploma and wants to work towards Chartered Status A superb opportunity exists to join a leading wealth man
Job Source: Alexander Mae (South West) LtdEden Scott
fife, scotland, United Kingdom
Eden Scott’s Client believe in the power of diversity and inclusion to drive success. We are excited to offer an opportunity for an Financial Services Administrator to join a team which is based in Dunfermline be a part of dynamic and inclusive workplace. Our Client commitment to diversity and inclusion is at the heart of our their company culture
Job Source: Eden ScottLorien
Stockbridge, City of Edinburgh
Financial Crime Openings (Transaction Monitoring/Onboarding/Compliance) - Edinburgh - 25-35K Lorien's client, an central Edinburgh based and well-known organisation currently expanding their Financial Crime function and seeing a growing pipeline of new business, is currently on the lookout for new talent in the shape of Financial Crime Analysts/Sp
Job Source: LorienLorien
Edinburgh
Financial Crime Openings (Transaction Monitoring/Onboarding/Compliance) - Edinburgh - 25-35K Lorien's client, an central Edinburgh based and well-known organisation currently expanding their Financial Crime function and seeing a growing pipeline of new business, is currently on the lookout for new talent in the shape of Financial Crime Analysts/Spe
Job Source: LorienESP
Edinburgh, Scotland, United Kingdom
Financial Services BDM Location: Edinburgh Salary: Up to £65k basic + £50K OTE + Car allowance & fantastic benefits Are you passionate about delivering amazing outcomes for your clients? This BDM opportunity with a well established IT Services provider requires someone who can really strike up a close relationship with their key Financial Services
Job Source: ESPZachary Daniels
Livingston
Compliance Manager | Food Retail | Large Store | £28-32,000 Zachary Daniels Retail Recruitment has an exciting opportunity for an experience Retail Operations Manager/Compliance Manager to join an established food retail business. This is an extremely important role in our client's...
Job Source: Zachary DanielsAlexander Mae (South West) Ltd
Edinburgh
Senior Business Assurance / Quality Review / Compliance / Financial Services Competitive Salary + Up to 25% Performance Bonus + Superb Benefits - Amazing package EDINBURGH & Home Working (minimum 2 days office based) Must have the level 4 Diploma and wants to work towards Chartered Status A superb opportunity exists to join a leading wealth man
Job Source: Alexander Mae (South West) LtdEdinburgh
Senior Business Assurance / Quality Review / Compliance / Financial Services Competitive Salary + Up to 25% Performance Bonus + Superb Benefits - Amazing package EDINBURGH & Home Working (minimum 2 days office based) Must have the level 4 Diploma and wants to work towards Chartered Status
A superb opportunity exists to join a leading wealth management specialist based in several UK locations.
As a Senior Business Assurance / Compliance Officer you’ll play an important part in the outstanding level of service that the IFA’s deliver to their clients. This is a key role and for that reason you need to be a dedicated, knowledgeable financial services professional who has achieved "Diploma" status and driven to work towards Chartered status!
The core function of this role is to act as a Technical Consultant as part of the wider division, predominantly to provide support to the Business Assurance Advisers (BAA) peer group and the Management Team. Approximately 10% of the checking team are Senior BAA’s and are required to demonstrate their increased technical knowledge by achieving Chartered status as a minimum over that of the core team of BAA’s who require Diploma status. You will still be expected to compliance check a range of business submitted by the Financial Advisors including the most complex Investment, Pension (including, where appropriate, DB transfers) and IHT cases and the postholder is required to be an expert in assessing these types of business.
You will also be required to act as a technical point of reference for the wider team. This involves query resolution, training, quality checking of trainees’ cases and project work within BA. It may also include representing the department in projects and corporate development. In recognition of their level of experience SBAA’s will also be required to deputize for management, when required, including dealing with BA concessions, acting as a point of contact for Grade Appeals and escalations, providing support for work allocation and to operate within a highly technical niche area to provide technical expertise to the team and BA managers.
The Person: Must have at least Level 4 Diploma with a passion to work towards Level 6 Chartered statusPrevious experience as a Senior Compliance Officer, Senior Para Planner would be ideal, however, they will also happily consider individuals who work as a Senior IFA, Financial Planning Manager and wish to move across to compliance.You must have worked across a full wealth management product portfolioMy client is looking for individuals who have a "can do" attitude, and a strong work ethic. You will enjoy working with others and want to be of service to clients, and each other and must have excellent organisational skills with a strong administration background where attention to detail is key.
This is a superb opportunity to work for an established employer who treat their staff with respect and give credit where credit is due, actively working hard to recognise individual performance.
Hours: Monday to Friday 9am - 5pm (35 hours per week) Benefits: Up to 25% Annual Performance related Bonus (based on company and personal performance), Non-contributory Pension 10% of base salary rising to 12.5% then 15% following length of service, 28 days holiday rising to 30 days (option to buy a further 5 days), Life cover equivalent to ten times base salary, Critical Illness for individual and immediate family, Medical Insurance BUPA, Additional benefits include; SAYE Share Options, Salary & Pension Contribution payable in the first 12 months of illness, Eye-Tests, Refreshments, FREE Car Parking, Childcare Vouchers, Season Ticket Loans. Hybrid working with a minimum of 2 days based in the Office.
Email Alert for Senior Compliance Checker / Financial Services jobs in Edinburgh
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