Compliance Officer

Job Description:

We have a newly created role to join a leading discretionary wealth firm in Glasgow.

This is a key hire to join their Risk & Compliance function, supporting the business with a wide variety of tasks from regulatory reporting, conduct risk, prudential requirements and governance.

Reporting to the Group Head of Risk & Compliance, the position works closely with senior leadership and carries a high level of autonomy, with end-to-end ownership of core regulatory processes and responsibility for providing expert guidance on FCA requirements impacting investment management activities.

• Significant compliance experience within investment management.


• Strong working knowledge of the FCA Handbook, including COBS, SYSC, DISP and COLL, as well as AML requirements and Consumer Duty.


• Investment Management Certificate or equivalent investment and/or compliance qualification.


• Strategic and analytical approach with strong problem-solving capability.


• Excellent communication and report-writing skills, with the ability to influence at all levels.


• High attention to detail, integrity and resilience in a fast-paced regulatory environment.

• Own and deliver timely, accurate regulatory reporting, including prudential and conduct returns and coordinate regulatory disclosures


• Lead the ICARA process


• Maintain a forward-looking regulatory horizon scanning programme, assessing regulatory change and overseeing implementation with relevant business stakeholders.


• Support the ongoing maintenance and review of regulatory and internal policies, ensuring alignment with regulatory expectations and internal standards.


• Deliver a risk-based compliance monitoring plan and coordinate with internal senior stakeholders


• Conduct thematic testing across key investment conduct areas, including best execution, market abuse, conflicts of interest and financial promotions.


• Operate a proportionate Training & Competence framework

• A highly competitive salary


• Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 16325

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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