Senior Compliance Manager
Senior Compliance Manager
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Job Description
Location:Glasgow (Hybrid working considered)
Employment Type:Open to Fulltime or Parttime (minimum 3 days per week)
About EIS Financial Services
EIS Financial Services Ltd (EISFS) was established in 1990 by The Educational Institute of Scotland (EIS) the largest teachers union in Scotland. EISFS provides members and their families with access to professional financial advice on a wide range of products including retirement planning investment planning protection and Teachers Pension guidance. In 2020 EIS Financial Services Ltd was purchased by Cornmarket Group Financial Services Ltd based in Ireland who specialise in advising public servants and their families.
The Role
We are looking for an experienced and highly motivated Senior Compliance Manager to lead and manage our compliance function. This is a critical role ensuring that EISFS operates within regulatory frameworks and maintains the highest standards of compliance governance and risk management.
The successful candidate will act as the firms SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) under the FCAs Senior Managers and Certification Regime (SM&CR) and be responsible for the firms compliance with the Financial Conduct Authority (FCA) regulations countering financial crime overseeing data protection compliance and ensuring adherence to internal policies and procedures.
The role holder will sit on the senior management team and will have an input into the day to day running of the firm as well as its strategy for future development.
Accountabilities of the Role
Ensuring the effective operation of the compliance framework and embedding a culture of regulatory adherence across the firm.
Leading the development implementation and maintenance of compliance policies and procedures including financial crime prevention.
Overseeing the complaints handling process ensuring timely and appropriate resolution in line with FCA requirements.
Reporting on compliance matters to senior management the Board and the parent company (Cornmarket Group) as required.
Supervising the Training & Competence (T&C) scheme actively supporting advisers in the field to achieve and maintain competency as well as undertaking supervision.
Providing regulatory training and updates to staff fostering awareness and understanding of compliance obligations.
Acting as the primary liaison with regulatory bodies ensuring timely submission of notifications and reports.
Skills & Knowledge Required
Proven experience in a senior compliance role within the financial services sector preferably in an FCAregulated firm.
Relevant professional financial services qualifications to at least QCF Level 4 standard (UK) or equivalent.
Strong leadership skills with experience in managing compliance teams and influencing senior stakeholders.
Strong knowledge of FCA regulations financial crime prevention data protection laws and risk management principles.
Ability to interpret complex regulatory requirements and apply them practically within a business setting.
Excellent communication and interpersonal skills with the ability to engage staff at all levels.
Relevant compliance qualifications (e.g. ICA CISI or equivalent) are desirable.
Why Join Us
Opportunity to lead the compliance function in a wellestablished purposedriven financial services firm.
A supportive and collaborative working environment.
Competitive salary and benefits package.
Hybrid and flexible working options.
Required Experience:
Manager
Employment Type
Full-Time
