Job Description:
An Edinburgh based boutique investment house is now looking to appoint a proactive and results orientated Chief Operating Officer to be responsible for a number of areas including, Finance, Business and Investments Operations and Compliance.

In essence, you will support the establishment and optimisation of day-to-day administration and operations ensuring that the firm's compliance and risk monitoring policies and processes are compliant with current legislation and regulatory requirements.

In addition, you will manage the firm's financial controls function which will include the production of annual budgets, monthly management accounts, regulatory reporting and statutory report and accounts.

Core responsibilities:

  • Advise on key planning issues and make recommendations on important business decisions

  • Strategic planning and resource allocation within the Operations function

  • Establish and monitor the effectiveness of operational processes and controls

  • Ensure all members of the Operations function are fully aware of the firm's established controls and processes and monitor adherence thereto

  • Set performance targets for each member of the Operations Team which are tied to the long term goals of the firm

  • Monitor Operations Team member's performance against the targets set to ensure progress is made and maintained

  • Conduct regular meetings with the operations team and, where relevant, other members of staff, to ensure all key tasks are being auctioned, priorities are clear and coordination across the business is effective

  • Proactively identifying emerging compliance issues and regulatory changes and developing and implementing appropriate plans to address

  • Ensuring the development of all compliance, risk and related policies

  • Reporting to the Board and Risk & Compliance Committee on all risk and compliance issues

  • Liaison with and management of the firm's relationship with National Regulatory Services

  • Providing advice and guidance to the COO and other in relation to compliance issues

  • Signing off and providing compliance approval for all financial promotion materials and other external communications

  • Managing the relationship with the FSA including review of all FSA reports before submission

  • Manage the firm's financial control function ensuring that appropriate controls and procedures are adhered to

  • Oversee and monitor the production of the firm's annual budget and monthly management accounts

  • Ensure all regulatory and statutory returns are properly prepared and filed with the relevant bodies in line with established timetables

  • Monitor FSA financial adequacy resources and related requirements

  • Manage the relationship with the firm's auditor including agreement on costs and timetable for year-end audit and production of the statutory accounts


  • Ability to lead, plan and manage change

  • Strong organisational skills

  • Adaptable with proactive attitude and demonstrated initiative

  • Motivated and results orientated

  • Ability to work individually and as part of a team

  • High levels of interpersonal and negotiation skills

  • Excellent presentation and communication skills

  • Intermediate to advanced Excel skills

  • Experienced team management and development skills

  • Advanced accounting capability

  • Experienced risk and compliance knowledge


  • Excellent benefits

  • Competitive Salary

Job reference: 10056

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.


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