Regulatory Compliance Expert

6 days ago


Liverpool, Liverpool, United Kingdom MERJE Full time

Overview

MERJE is a leading recruitment agency supporting clients in the wealth management sector. As a trusted partner, we assist top talent in finding new opportunities that match their skills and ambitions.

About the Role

We are seeking a seasoned compliance professional to join our client's team as Head of Compliance. This role offers an exceptional opportunity for a motivated individual to shape the firm's compliance strategy and contribute to its continued success.

Main Responsibilities

  • Developing Compliance Frameworks: Design and implement a robust compliance framework aligned with FCA regulations and industry standards.
  • Leading the Compliance Team: Provide strategic guidance, mentorship, and performance management to ensure high standards across the department.
  • Staying Ahead of Regulatory Changes: Monitor regulatory developments, assess their impact, and advise senior management on necessary actions to maintain regulatory integrity.
  • Conducting Risk Assessments: Conduct regular compliance risk assessments and implement effective monitoring plans to mitigate potential risks.
  • Liaising with Regulators: Serve as the primary point of contact for regulatory bodies, handling notifications, submissions, and communications efficiently.
  • Reviewing Financial Promotions: Ensure financial promotions and client communications comply with regulatory requirements.
  • Cultivating a Compliance Culture: Embed a culture of compliance throughout the organization, driving continuous improvement and excellence.

The Ideal Candidate

  • Experience and Qualifications: Possess extensive experience in compliance within the wealth management or financial services sector, along with relevant professional qualifications (e.g., ICA, CeMAP, CISI).
  • Leadership Skills: Demonstrate proven ability to manage and develop teams, showcasing strong leadership and mentoring skills.
  • Communication and Analytical Skills: Exhibit exceptional communication and interpersonal skills, with the ability to engage effectively with stakeholders at all levels, and highly analytical and detail-oriented capabilities.

What We Offer

  • Competitive Salary and Benefits Package: Receive a competitive salary and benefits package that reflects your skills and experience.
  • Professional Development Opportunities: Enjoy opportunities for professional growth and career advancement within a supportive and collaborative work environment.
  • Meaningful Impact: Contribute to a respected and growing firm, making a significant impact in the wealth management sector.


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