Compliance Officer

January 7, 2023

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Job Description

Full Job Description

  • Glasgow
  • Urgent

About Our Client

A leading firm

Job Description

  • Auditing files for compliance and risk management;
  • Ensuring file management compliance;
  • Maintaining central registers;
  • Assisting with the review and evaluation of the firms compliance activities;
  • Supporting with the development of an effective legal compliance programme;
  • Assisting with communicating and training on all policies and procedures to every department, ensuring that every employee properly understands the policies and procedures and ensuring that they are being adhered to;
  • Undertaking due diligence;
  • Setting up and attending Compliance Meetings and preparing agenda and minutes;
  • Recording information on Training software;
  • Assisting with Customer Service enquiries;
  • Providing absence cover for our Asset Store;
  • Assisting with the renewal of all insurances required by the Firm to include Professional Indemnity Insurance;
  • Drafting correspondence and documents on client matters;
  • Assisting in building lasting working relationships with staff, clients and third parties;
  • Any other reasonable tasks.

The Successful Applicant

A candidate from a strong compliance background

What’s on Offer

A competitive salary, hybrid working, private healthcare and much more