Compliance Officer

3 weeks ago

London, United Kingdom MERJE Ltd Full time

MERJE are supporting this highly prestigious Financial Services in their search for a Compliance Officer.

Our client’s focus is to build a financial plan & investment strategy for their clients by providing a tailored discretionary, advisory and execution
- only services to individuals, corporates, trusts and funds and a wealth planning service.

As they continue to grow, they are actively looking to recruit a dedicated Compliance Officer within their Capital Markets division. Their Capital Markets division provides Corporate Finance, Research, Market Making and Fund-raising capabilities to quotedsmall/mid-cap companies

**Responsibilities**

Providing support to the Chief Risk and Compliance Officer you will:

- Support the implementation of the firm’s risk and compliance policies and procedures
- Undertake specified monitoring checks and controls aimed at assisting the firm in maintaining compliance with rules, regulations, legislation and the firm’s policies
- Assist in the development and embedding of the firm’s Risk Management Framework
- Advise the Capital Markets business on their regulatory obligations and ensure the Capital Market business complies with all relevant legislation and codes of conduct.
- Deal with questions and queries from the business on Compliance and Risk issues
- Assist with training across the business where necessary
- Assist in collating upcoming regulatory changes, communicating changes to the business and tracking all required actions
- Timely review and approval of financial promotions and marketing materials

**Background/Skills**
- Ideally 3-5 years of corporate finance Compliance experience gained from either an investment bank, NOMAD or other corporate finance provider.
- Need to be strategic and commercial with a strong attention to detail.
- Will be robust, solution-driven and be able to build relationships across the business.
- A working knowledge of the current UK and EU financial service regulatory regime
- including but not limited: MiFID, trading and advisory experience; Market Abuse Regulations, SMCR; FCA Principles of Business; and AIM regulations.
- Can easily communicate at all levels with colleagues and clients
- The ability to work under pressure with strong interpersonal, planning and organisational skills
- Organisational awareness
- Works in partnership with the Business

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