Financial Planning Compliance Officer

Financial Planning Compliance Officer

Calton, Edinburgh, Scotland, United Kingdom

Job Summary

We are seeking a diligent and detail‑oriented Compliance Officer to oversee and ensure adherence to regulatory standards within a growing Financial Planning firm. The successful candidate will play a vital role in maintaining the integrity of our operations by implementing effective compliance management strategies, conducting internal audits, and ensuring all activities align with Financial Conduct Authority (FCA) regulations. This role offers an excellent opportunity for professionals with a strong background in regulatory reporting and compliance to contribute to our ongoing success.

The Role

Reporting to the CEO, the Compliance Officer (CO) will take responsibility for coordinating and liaising with our out‑of‑house Compliance Resource. This role does not include SMF responsibilities.

As Compliance Officer, you will possess ...