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To arrange a confidential discussion about any current or potential future opportunities, send a CV by email (only) to Gillian Gallacher gillian@gemcompliance.com.

Compliance Consultant

We are looking to recruit further experienced compliance staff with a primary focus on advisory and monitoring activities and with the drive and ambition to support our organisation to grow and meet its full potential.

Responsibilities will include:

  • Providing technical advice and solutions on FCA rules to regulated firms and appointed representatives including on regulatory perimeter issues;
  • Advice on preparing and submitting FCA applications for authorisation or variations of permission, also approved persons and appointed representatives, and change in control;
  • Advising on new regulatory developments and support on implementation;
  • Technical and/or administrative support on project work, including periodic reviews/updates of manuals, financial promotions, compliance policies, training
    material and regulatory circulars;
  • On occasion, conducting compliance monitoring visits/systems and controls
    healthchecks and training;
  • Post induction, being responsible for your own portfolio of clients; and
  • Identifying new business development opportunities for compliance related support.

Experience/Skills required:

  • Previous compliance consultancy, advising or monitoring experience essential (3 years minimum) in either in-house or consultancy capacity;
  • Working knowledge of FCA Handbook or equivalent regulatory regime;
  • Good technical compliance and analytical skills including financial crime systems and
    controls;
  • Self motivated, questioning and proactive nature;
  • Ability to work in a small team but also independently, using your own initiative;
  • Ability to plan and prioritise own workloads;
  • Interpersonal skills including ability to deal with client senior management;
  • Good communication skills, both written and verbal;
  • Ability to identify compliance related gaps/weaknesses and design solutions;
  • IT proficiencies, particularly in Office software;
  • Professional qualification(s) in compliance or a related discipline preferred but not a
    pre-requisite.

The role will be based either in Edinburgh or the South East of England depending upon the right candidate, with travel to other UK locations and client offices when required.

This position offers:

  • A competitive salary and benefits (pension/holidays) package
  • Flexible working hours
  • Learning opportunities, both in house and external
  • Cycle to work scheme
  • Laptop and mobile phone

Please email Gillian Gallacher with a CV and cover letter to gillian@gemcompliance.com.

Download the job description here  Gem Compliance – Compliance Consultant opportunity

Compliance Assistant

We are looking for an enthusiastic and motivated individual, who is keen to apply their learning or practical experience to real-life business scenarios and supplement it with hands-on business experience, to join our small team as a Compliance Assistant.

This is a varied role in a growing business, providing administrative compliance and investment-related support to all areas of the business. There may also be the opportunity to develop aspects of the role to the individual’s specific interests.

As well as providing us with additional resources, we hope there will opportunities for us to learn from the individual and will facilitate this by endeavouring to make the individual feel part of the team and comfortable sharing their ideas and their opinions.

We’re looking for help primarily with:

  • Onboarding of investors including support on ‘Know Your Client’ processes and investment subscriptions
  • Administrative support on investment recommendations and investor reporting
  • Administrative support with FCA applications for firms and individuals including support on extensive due diligence/background checks
  • Assisting the team with various regulatory filings
  • Helping the team to establish, co-ordinate and successfully operate various compliance and investment related processes.
  • General administrative tasks such as minute taking
  • Writing and issuing of the monthly newsletter and website/social media posts

We think candidates would have a number of the following:

  • completed a degree, modules, apprenticeship or professional qualification relevant to financial services or that cover analysis of finance, business or markets
  • looking to better understand how the UK’s financial services industry operates particularly more specialised/innovative areas of the industry
  • be able to follow instructions/design briefs but do so with attention to detail and initiative
  • have a flexible and proactive nature
  • work well both in a small team and independently
  • good communication skills
  • good organisational skills
  • strong IT skills
  • good working knowledge of Microsoft office, or equivalent, packages

We see the following benefits for the successful candidate:

  • gain valuable and relevant, general and specific, business experience to assist their career development
  • opportunity to learn from, and make connections with, industry professionals in the fields of regulatory compliance and financial services
  • gain exposure to evolving and innovative businesses operating in areas such as FinTech, ‘tech for good’, and the circular economy
  • work for an open and inclusive organisation that genuinely cares about the wellbeing and opinions of its staff
  • includes an induction process and ongoing training necessary for the role and extra training where the opportunity or interest arises
  • flexible working arrangements: the location of the role will be office-based in the centre of Edinburgh with the potential to move to a hybrid model of office and remote/home-based working further into the employment
  • competitive salary and benefits package reflecting either a part time or full time role

The selection process will involve the following stages:

  • Review of CV and covering letter
  • Video interview with the Managing Director and another member of the senior management team of approximately an hour in length
  • Written exercise
  • Follow-up discussion with the firm’s Non-executive Director

Interested candidates should email Gillian Gallacher with their CV and a short covering letter outlining their suitability for, and interest in, the role to gillian@gemcompliance.com.

Download the job description here – GEM Compliance – Compliance Assistant opportunity