Senior Compliance Adviser

Job Description
Lutine Bell are currently supporting a growing Investment Platform looking to build out the Compliance function with several Compliance Advisory appointments.
Salaries ranging from £40,000-£75,000 (plus bonus & benefits)
Location: Edinburgh or SW England (flexible working)
Responsibilities:
Provide accurate and timely regulatory advice on first line of defence (“1LOD”) queries, activities, and strategic projects.
Consult with the Compliance Manager as needed to resolve difficult compliance issues.
Provide compliance approval for process changes, customer communications and new business initiatives.
Consult with the business to ensure that the business and its employees comply with all relevant FCA regulations and expectations.
Provide regulatory support, where required, to the material outsource arrangement.
Identify weaknesses or inefficiencies in how the first line operates and provide considered advice as to how the situation could be improved.
Requirements:
Experience in financial services, working in a back-office compliance role - ideally in a retirement, wealth management or investment platform business.
Detailed knowledge of SIPP and platform services and associated products (e.g., SIPP, ISA, GIA and Bonds).
Strong technical compliance knowledge, an excellent understanding of the appropriate sections of the FCA handbook as they apply to SIPP/platform businesses (in particular, COBS, SYSC and CASS handbooks, MIFID and IDD requirements, and SMCR) and an ability to apply this directly to the advice and consultancy you provide to the business.
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