Compliance Associate - Opportunity

Compliance Associate
Core-Asset Consulting's client, a boutique Asset Management house in Edinburgh, has an exciting opportunity for a school leaver to join its Compliance team on a permanent basis. 

As a school leaver, this is an excellent opportunity for you to carve out an outstanding career within the investment sector in Edinburgh.

As a Compliance Associate, you will work alongside the Compliance Manager, and will assist with all regulatory and operational risk matters, including the delivery of the Compliance Monitoring programme and the completion of the company's regulatory filings. 

  •  Excellent communication skills
  •  Self-motivatedAttention to detail 
  • Effective communicator
  • Logical approach
 Core Responsibilities:
  • Conduct the Compliance Monitoring programme
  •  Daily review of order management system and monitor client mandate restrictions 
  • Ensure timely completion of the firm's regulatory filings (UK and Overseas)
  • Ensure timely completion of regular client compliance certifications 
  • Manage the firm's PA Dealing process and associated reporting requirements; 
  • Co-ordinate the new client take-on process including AML checks; 
  • Maintain the regulatory aspect of the firm's website; 
  • Prepare weekly 'Regulatory Roundup' pack and manage meeting process; 
  • Produce quarterly risk limit reports for Irish Funds Board; 
  • Provide administrative support to the department; 
  • Review of third party MI; 
  • Assist with client and prospective client due diligence visits; and 
  • Assist with implementation of regulatory changes.
  • Competitive salary 
  • Discretionary bonus 
  • Generous pension scheme
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

Interested candidates should send their CV to Meghan Davies at: or phone 0131 718 4600 for a confidential discussion. 

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