Compliance Consultant

TL;DR

Compliance Consultant (Asset Management): Overseeing personal account dealing, gifts & hospitality, and personal conflicts standards with an accent on case management, breach logging, and system administration. Focus on investigating daily compliance cases, managing restricted dealing lists, and resolving broker transaction discrepancies.

Location: Stirling, Edinburgh

Company

Asset management and insurance company with over 175 years of history, providing long-term investment and savings solutions.

What you will do

• Oversee case management process from StarCompliance system, investigate and close daily cases timely, log breaches, and escalate issues.
• Manage restricted dealing list, broker and transaction feeds, including reconciliations and new feed implementations.
• Administer StarCompliance system, maintain lists, documents, workflows, and resolve maintenance issues.
• Field business queries, update procedures, and support management information reporting using Excel, PowerPoint, Power BI.
• Build relationships with stakeholders, local compliance teams, and vendors to ensure effective controls.
• Provide monitoring, team cover, and other duties as directed.

Requirements

• Experience in similar role within compliance or investment operations of asset management firm.
• Experience working with workflow tools and managing routine operational processes.
• Desirable: experience with automated personal account dealing systems like StarCompliance.
• Good knowledge of investment products, asset classes, processes, FCA COBS 11, MiFID inducements, SEC Code of Ethics.
• Strong ownership, analytical mindset, communication, time management, attention to detail.

Nice to have

• University degree or equivalent.
• Relevant compliance or investment management qualifications (ICA, CISI, IMC, IOC).

Culture & Benefits

• Flexible working arrangements and workplace accommodations.
• 18% pension (13% employer, 5% employee), Share Save, Share Incentive Plan, financial wellbeing support.
• 38 days annual leave including bank holidays, buy up to 5 extra days, Time Off When You Need It policy.
• Inspiring Families policy with paid parental leave for maternity, adoption, surrogacy, paternity.
• Private healthcare, critical illness cover, life assurance with family options.
• Inclusive culture with employee networks and Disability Confident Leader commitment.