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Internal Audit and Compliance Officer - Investments
£30,000 - £40,000
- Internal Audit and Compliance Officer - Investments
- Financial Services, Edinburgh
About Our Client
My client, a growing Financial Services firm based in Edinburgh, has a well established office in the city centre.
Internal Audit and Compliance Officer Responsibilities
- Responsible for all risk and compliance monitoring, reporting and tracking of actions, this includes annual presentation of a risk-based monitoring plan to the Board - this is essential.
- Advising management and staff on the practical application of FCA rules, guidance and principles.
- Assisting in the preparation of reports for governance committees and recording of minutes.
- Reviewing policies, systems, processes and controls to ensure they reflect best practice, are up to date and operating as documented.
- Working closely with the Head of Risk to assist in the preparation of month end data as required.
- Ensuring all filing is done in a timely and accurate manner.
- Providing Risk & Compliance training, and acting as a contact point for compliance and risk queries.
- Assisting with reporting to the FCA.
- Attending project meetings and identifying regulatory impact.
- Updating Compliance and AML procedures for regulatory change.
- Acting as a subject matter expert on AML, Complaints, Data Protection, Conflicts etc.
The Successful Applicant
- To plan, organise and manage own workload to ensure the monthly oversight and reporting of risk and controls is achieved in a timely and accurate manner.
- To suggest changes to procedures as identified and be involved in the continuous improvement development of processes.
- Ability to understand and interpret FCA consultation, rules and guidance.
- Strong Microsoft, PowerPoint and Excel skills.
- Good organisation and administrative skills.
- Good problem solving and analytical skills with the ability to exercise strong judgement skills and decision making.
- The ability to see through tasks to completion and ensure close out of assignments with adequate evidence and documentation.
- Friendly, helpful, and positive manner with an optimistic, open and flexible approach to change.
- Strong written and verbal skills.
- Excellent attention to detail.
- Extensive knowledge of UK financial services regulations, with a focus on custody and client money preferred.
- Ability to perform multiple tasks and meet conflicting deadlines.
- Ability to work autonomously under tight deadlines.
- Able to develop and maintain business relationships whilst retaining independent second line of defence status and providing robust challenge to the business if called for.
What's on Offer
£30-40,000 p/a + benefits