Regulatory Specialist – Edinburgh / Glasgow / Scotland

CRS (Compliance Resource Solutions Ltd)
February 12, 2018
Edinburgh / Glasgow / Scotland, United Kingdom
Job Type
Secondary Category
Financial Services - Training and Competence
Min. Experience
1- 2 years
Min. Qualifications
£40,000-£41,000 Per Annum Excellent Salary, Benefits & Car Allowance
Willing to Relocate


Our Client is well known throughout Financial Services and Operates within the IFA Market. They are now looking to meet with an Experienced Compliance / Regulatory Consultant.

This is a Field Role and working from Home. Ideally, the Candidate will be based in the Edinburgh / Glasgow / Scotland area. Candidates with the relevant Qualifications & Experience but living outside of these areas will also be considered.

Purpose of The Role:

To proactively deliver regulatory compliance support services to meet with the firm`s risk mitigation, needs and objectives to help to deliver good customer outcomes. Identify opportunities and trends and deliver a quality service. Aim to be the market leading support services brand for directly authorised firms.


  • Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
  • Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.
  • Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
  • Develop and maintain effective and proactive working relationships with internal and external stakeholders
  • Maintain and develop own technical and regulatory knowledge.
  • Take opportunities, both reactive and proactive to assist with the development additional services and support for clients.
  • Support negotiation of Contract Renewals and management retention risk with internal and external stakeholders.
  • Support customer training/meetings at client or external premises. Representing The Group professionally at both Group and Industry events.
  • Actively support and engage with business projects as required by Regulatory Oversight Supervisor to meet client needs and business objectives.

Experience Skills & Qualifications:


  • Level 4 Diploma in Financial Services or equivalent
  • Supervisory competence
  • Relevant experience in a similar role
  • Supervisory experience


· Level 3 certificate in mortgage advice or equivalent
· J07 or equivalent qualification (Supervision in a regulated environment)

There is an Excellent Salary, Bonus, Benefits Package & Car Allowance available with this role!



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