FCA Compliance Lead, Financial Planning (Part-Time)

Calton Wealth Management Ltd.; City of Edinburgh; Hybrid; GBP 60,000 - 80,000; Part time

Job summary

A financial planning firm in Edinburgh seeks a diligent Compliance Officer to oversee regulatory standards and ensure compliance strategies are effectively implemented. This part-time role (3 days a week), with flexible working hours, requires strong experience in compliance management and effective communication skills. The successful candidate will foster a compliant culture to uphold the firm’s values and obligations.

Qualifications

• Proven experience in compliance management within the financial planning sector.
• Strong understanding of FCA regulations and industry standards.
• Excellent organisational skills with the ability to analyse complex information.

Responsibilities

• Ensure compliant advice & sales procedures are followed.
• Monitor and audit the firm’s T&C records for gaps.
• Provide regular compliance and regulatory updates to the business.

Skills

Compliance management

Regulatory reporting

Internal audits

Analytical skills

Effective communication

Education

Professional qualification or certification in compliance

Job description

A financial planning firm in Edinburgh seeks a diligent Compliance Officer to oversee regulatory standards and ensure compliance strategies are effectively implemented. This part-time role (3 days a week), with flexible working hours, requires strong experience in compliance management and effective communication skills. The successful candidate will foster a compliant culture to uphold the firm’s values and obligations.