Compliance Monitoring Officer
1 month ago
Our client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.
To undertake second line of defence compliance monitoring for review of the effectiveness of the compliance controls in place in the business.
To assist the Head of Regulatory Compliance & Risk in the delivery of the annual routine compliance monitoring plan.
To assist the Head of Regulatory Compliance & Risk in reprioritising the plan each quarter based on emerging risks in the business.
To undertake routine, discovery and thematic reviews as required and produce draft reports for the approval of the Head of Regulatory Compliance & Risk.
To undertake bespoke investigations where risk indicators indicate a significant breach of company procedure or FCA rules.
Stay up to date on Consumer Duty training and regulations as they pertain to financial planning operations and administration. Under manager supervision, consider client needs, treat them fairly, and act in their best interests when executing administrative tasks related to client assets, reporting, and queries.
At least 3 years' experience in a compliance monitoring function of a financial planning and/or investment management business.
Good understanding of financial planning markets.
Extensive and up to date technical knowledge of the financial planning process through appropriate industry exams and CPD, including products, funds, pensions, markets, appropriate financial instruments, the required regulatory standards and their relevance to private clients.
Well-developed and effective communicator both verbally and in writing, exhibiting good questioning and listening skills, including excellent report writing skills.
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Compliance Monitoring Officer
1 month ago
Salisbury, Wiltshire, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function. Role Responsibilities: To undertake second line of defence compliance...
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Compliance Monitoring Officer
3 days ago
salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function. Role Responsibilities: To undertake second line of defence compliance...
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Compliance Monitoring Officer
1 month ago
Salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function. Role Responsibilities: To undertake second line of defence compliance...
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Compliance Monitoring Officer
1 month ago
Salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.Role Responsibilities: To undertake second line of defence compliance monitoring...
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Compliance Monitoring Officer
1 month ago
Salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.Role Responsibilities: To undertake second line of defence compliance monitoring...
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Compliance Monitoring Officer
3 weeks ago
Salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis.As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.
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Compliance Monitoring Officer
3 weeks ago
Salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis.Hit Apply below to send your application for consideration Ensure that your CV is up to date, and that you have read the job specs first.As Compliance Monitoring Officer you will be responsible for...
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Compliance Monitoring Officer
3 weeks ago
Salisbury, United Kingdom MERJE Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. Hit Apply below to send your application for consideration Ensure that your CV is up to date, and that you have read the job specs first.As Compliance Monitoring Officer you will be responsible for...
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Compliance Monitoring Officer
1 month ago
salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.Role Responsibilities: To undertake second line of defence compliance monitoring...
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Compliance Monitoring Officer
3 weeks ago
Salisbury, South West, United Kingdom MERJE Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. Hit Apply below to send your application for consideration Ensure that your CV is up to date, and that you have read the job specs first.As Compliance Monitoring Officer you will be responsible for...
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Compliance Monitoring Officer Position
3 days ago
Salisbury, Wiltshire, United Kingdom Merje Full timeJob Description:We are seeking a highly skilled Compliance Monitoring Officer to join our team on a permanent basis.The successful candidate will be responsible for undertaking the risk-based second line monitoring function, ensuring that compliance controls in place are effective.Key Responsibilities:Undertake second-line defence compliance monitoring to...
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Salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis.As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.Role Responsibilities: To undertake second line of defence compliance monitoring...
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Salisbury, United Kingdom Merje Full timeOur client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis.A variety of soft skills and experience may be required for the following role Please ensure you check the overview below carefully.As Compliance Monitoring Officer you will be responsible for...
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Compliance Monitoring and Risk Analyst
1 week ago
Salisbury, Wiltshire, United Kingdom Merje Full timeJob Overview:We are currently seeking a highly skilled Compliance Monitoring Officer to join our team at Merje. The successful candidate will be responsible for ensuring the effectiveness of our compliance controls and procedures, as well as assisting the Head of Regulatory Compliance & Risk in delivering the annual compliance monitoring plan.As a Compliance...
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Regulatory Monitoring Officer
3 days ago
Salisbury, Wiltshire, United Kingdom Merje Full timeRole Overview: Merje is seeking a highly skilled Regulatory Monitoring Officer to join our team. As a key member of our compliance department, you will be responsible for undertaking risk-based second-line monitoring functions, ensuring compliance with regulatory requirements.Key Responsibilities:Undertake routine, discovery, and thematic reviews as...
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Financial Regulatory Compliance Officer
6 days ago
Salisbury, Wiltshire, United Kingdom MERJE Full time**Job Title:** Compliance Monitoring OfficerWe are seeking an experienced Compliance Monitoring Officer to join our team at MERJE's client, a respected financial services firm. As a key member of the Regulatory Compliance department, you will play a crucial role in maintaining high standards of regulatory compliance across various business functions.Your...
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Financial Services Compliance Officer
22 hours ago
Salisbury, Wiltshire, United Kingdom Merje Careers Full timeJob Description:We're looking for an exceptional Compliance Monitoring Officer to join our Merje Careers team.Key Tasks:Undertake second-line monitoring to assess the effectiveness of compliance controls.Collaborate with the Head of Regulatory Compliance & Risk to deliver the quarterly compliance monitoring plan.Develop and implement thematic reviews as...
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Financial Planning Compliance Officer
9 hours ago
Salisbury, Wiltshire, United Kingdom Merje Full timeCompliance Monitoring RoleMерjie is looking for a skilled Financial Planning Compliance Officer to join their team on a permanent basis. As a key member of the compliance team, you will be responsible for undertaking the risk-based second line monitoring function, reviewing the effectiveness of compliance controls in place within the business.About...
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Regulatory Compliance Officer
4 weeks ago
Salisbury, Wiltshire, United Kingdom Merje Full timeOur client is a leading financial services firm seeking a Regulatory Compliance Officer to join their team. This role will involve undertaking second-line monitoring functions, ensuring the effectiveness of compliance controls within the business.The ideal candidate will have at least 3 years of experience in a similar function and possess strong...
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Compliance Officer
2 days ago
Salisbury, Wiltshire, United Kingdom Merje Full timeJob DescriptionMerje is seeking a Compliance Monitoring Officer to join its team on a permanent basis. As a key member of the compliance function, you will play a crucial role in ensuring the firm's operations are aligned with regulatory requirements and industry best practices.The successful candidate will be responsible for undertaking risk-based...
