Compliance Monitoring Officer

2 weeks ago

Manchester, New Hampshire, United Kingdom MERJE Full time
Job Description

Role Overview and Purpose

Merje, a leading wealth management firm, is seeking a highly skilled Compliance Monitoring Officer to join its newly formed European compliance team. The successful candidate will play a crucial role in delivering the firm's compliance monitoring program, ensuring timely completion of assigned tasks.

This is an excellent opportunity for an experienced compliance professional to grow their career while developing personally and professionally through various resources and programs. With a European remit, it is essential that candidates have French or German language skills.

Key Responsibilities

  • Deliver a series of defined monitoring tests to ascertain the firm's compliance with its regulatory and legal obligations.
  • Ensure timely delivery of compliance tests in accordance with the compliance monitoring plan schedule.
  • Maintain excellent record-keeping in alignment with the Compliance Monitoring Specification, including correct use of test folders, version control, and naming conventions.
  • Engage with the business pre- and post-testing, monitoring, and verifying the completion of actions set to demonstrate positive compliance.
  • Evolve, adapt, and design required testing sheets under the direction of their manager.
  • Perform continuous gap analysis of the CMP scope and application.
  • Contribute to a 'live' compliance risk assessment of the firm.
  • Support and undertake Compliance Reporting, including reporting and notifications to regulatory bodies as required, internal management reporting, and register maintenance.

Personal Attributes and Experience

  • Experience in a compliance monitoring role within the financial services industry.
  • Experience in delivering regulatory change within a firm.
  • Experience in applying root cause analysis to findings to create effective actions.
  • Relevant qualifications through industry body or educational institution.
  • Proficient in English required.
  • Minimum Intermediate knowledge of French and/or German.

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