Compliance Officer - File Checker

Join Our Clients Team as a Compliance Officer - File Checker in Edinburgh! Are you an experienced paraplanner or compliance professional looking for a new challenge in the financial services sector? We are seeking a meticulous and dedicated Compliance File Checker to join our client’s team in Scotland. As a leading financial services firm, they are committed to maintaining the highest standards of regulatory compliance and ethical conduct.

Their team is passionate about ensuring their operations adhere to all relevant regulations and internal policies.

Key Responsibilities:

Conduct detailed reviews of compliance files Identify and report non-compliance issues Maintain accurate records and provide feedback for process improvements Collaborate with various departments to address compliance concerns Stay informed about regulatory changes and industry best practices

Qualifications:

3-5 years of experience in paraplanning and/or compliance/file reviewing within financial services Strong knowledge of regulatory requirements and compliance standards Excellent analytical skills and attention to detail Strong communication and interpersonal skills Professional qualifications such as the Level 4 Diploma in Financial Planning are highly desirable On

Offer:

Competitive salary DOE Comprehensive benefits package including health insurance and pension scheme Opportunities for professional growth and development Support toward professional qualifications

How to Apply:

If you are passionate about compliance and want to take the step in your career, we would love to hear from you! Please submit your CV or contact Pauline Low at Reed on Join our client and be a part of a team that values integrity, excellence, and continuous improvement!