Financial Planning Compliance Specialist

2 days ago


Salisbury, Wiltshire, United Kingdom Merje Full time
Job Summary:

We are seeking an experienced Compliance Monitoring Officer to join our team at Merje, a leading financial planning and wealth management firm. As Compliance Monitoring Officer, you will play a critical role in ensuring the effectiveness of our compliance controls in place in the business.

The ideal candidate will have at least 3 years' experience in a compliance monitoring function of a financial planning and/or investment management business. A good understanding of financial planning markets is also essential, as well as extensive technical knowledge of the financial planning process through industry exams and CPD. Excellent communication skills, both verbally and in writing, are required, including excellent report writing skills.

The salary for this position is estimated to be around £45,000 - £60,000 per annum, depending on experience. If you are a motivated and detail-oriented individual who is passionate about ensuring compliance and risk management, we encourage you to apply.

About Merje:

Merje is a leading financial planning and wealth management firm that provides bespoke advice and guidance to individuals and businesses. We pride ourselves on our commitment to excellence and our ability to deliver tailored solutions that meet our clients' unique needs.

Responsibilities:
  • Undertake second-line defence compliance monitoring for review of the effectiveness of compliance controls in place in the business.
  • Assist the Head of Regulatory Compliance & Risk in delivering the annual routine compliance monitoring plan.
  • Undertake routine, discovery and thematic reviews as required and produce draft reports for approval by the Head of Regulatory Compliance & Risk.
  • Stay up to date on Consumer Duty training and regulations as they pertain to financial planning operations and administration.


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    MERJE is seeking a Financial Planning Governance Specialist to join their team. This role involves assisting the Head of Regulatory Compliance & Risk in the delivery of the annual routine compliance monitoring plan and reprioritising it each quarter based on emerging risks in the business.The ideal candidate will have good understanding of financial planning...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    Job DescriptionWe are seeking a highly skilled Financial Regulatory Compliance Specialist to join our team at Merje on a permanent basis.The successful candidate will be responsible for undertaking the risk-based second line monitoring function, ensuring the effectiveness of compliance controls in place across the business.Key Responsibilities:To conduct...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    Merje is a leading financial planning and wealth management firm seeking an experienced Regulatory Compliance Specialist to join their team on a permanent basis. The estimated annual salary for this position is around $80,000-$110,000.About the RoleThis exciting opportunity allows you to take on a key role in ensuring the effectiveness of our compliance...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    About the Role:Merje, a leading financial planning and wealth management firm, is seeking a Compliance Risk Management Specialist to join our team on a permanent basis.Job Description:Undertake the risk-based second line monitoring function to ensure the effectiveness of compliance controls in place within the business.Assist the Head of Regulatory...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    Job Description:We are seeking an experienced Compliance Monitoring Officer to join our team at Merje, a leading financial planning and wealth management firm. The successful candidate will be responsible for undertaking risk-based second-line monitoring functions, assisting the Head of Regulatory Compliance & Risk in delivering the annual compliance...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    At Merje, we're seeking an experienced Compliance Monitoring Officer to support our client, a leading financial planning and wealth management firm. In this role, you'll play a crucial part in ensuring the effectiveness of our compliance controls.Key Responsibilities:Undertake risk-based second-line monitoring to review the effectiveness of compliance...


  • Salisbury, Wiltshire, United Kingdom Platform Recruitment Full time

    Job SummaryWe are seeking an experienced Financial Reporting Specialist to support our manufacturing clients in product development, financial planning, and analysis.Key Responsibilities:Preparation of timely and accurate management accounts for manufacturing clientsSupervision of monthly payroll processes to ensure compliance and accuracyAnalysis of stock...

  • Resolution Specialist

    2 weeks ago


    Salisbury, Wiltshire, United Kingdom Nucleus Financial Full time

    About the RoleWe are seeking a Resolution Specialist to join our team at Nucleus Financial. As a key member of our Remediation team, you will be responsible for investigating issues, identifying their impact, and determining the necessary calculation approach to assess that impact on each customer.The ideal candidate will have a passion for doing the right...


  • Salisbury, Wiltshire, United Kingdom Get Recruited Full time

    About the OpportunityWe are seeking a skilled Financial Services Specialist to join our team in Salisbury. This exciting role involves managing client relationships and accounts, ensuring compliance with regulatory requirements.Job DescriptionManage client accounts from end-to-end, handling queries and providing exceptional service.Liaise with clients and...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    We are seeking a skilled Compliance Monitoring Officer to join our team at Merje, a leading financial planning and wealth management firm.The successful candidate will be responsible for undertaking the risk-based second line monitoring function, reviewing the effectiveness of our compliance processes.Key Responsibilities:Undertake second line of defence...


  • Salisbury, Wiltshire, United Kingdom Xeinadin Group Full time

    Job Title: Trainee Financial SpecialistWe are seeking a bright and enthusiastic individual to join our team as a Trainee Financial Specialist. In this role, you will have the opportunity to gain valuable experience in financial analysis and reporting.Key Responsibilities:Analyse financial data and prepare reports for management.Develop and maintain...


  • Salisbury, Wiltshire, United Kingdom Carbon 60 Full time

    Maintenance Operations Specialist We are recruiting a skilled Maintenance Planner to join our team in Salisbury to support Lab shutdown and maintenance operations. Salary: £32,000 per annum Working Hours: Monday - Friday 8am - 4pm A Security Clearance is mandatory for site access. Job Description To oversee and coordinate maintenance activities using a...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    Job 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...


  • Salisbury, Wiltshire, United Kingdom CV-Library Full time

    Salary and Benefits:Up to £50,000 + 6K Car Allowance per annum. This role offers a competitive package, along with the opportunity to work with a specialist company providing safe and sustainable training solutions for the armed forces.As a Building Services Technical Manager with Resourcing Group, you will be responsible for ensuring compliance with...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    Our 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...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    Estimated Salary: The estimated salary for this role is approximately $80,000 - $110,000 per annum, depending on experience and qualifications.


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    Company OverviewMerje is a leading financial planning and wealth management firm that offers expert guidance to individuals and businesses alike.We are currently seeking a skilled Compliance Monitoring Officer to join our team on a permanent basis.


  • Salisbury, Wiltshire, United Kingdom Ahold Delhaize USA Full time

    Ahold Delhaize USA, a leading global food retailer, seeks an experienced Senior Financial Planning and Analysis Manager to support its Finance team. The ideal candidate will have a strong background in finance, category management, merchandising, and/or supply chain.About the RoleWe are looking for a talented individual to join our team as a Senior Financial...

  • Investigation Analyst

    2 weeks ago


    Salisbury, Wiltshire, United Kingdom Nucleus Financial Full time

    Your Future at Nucleus FinancialWe are looking for a talented individual to fill the role of Resolution Specialist. If you have a passion for delivering exceptional results, a strong background in finance, and excellent communication skills, we would love to hear from you!As a key member of our Remediation team, you will work closely with stakeholders to...


  • Salisbury, Wiltshire, United Kingdom Get Recruited (UK) Ltd Full time

    Are you looking for a challenging and rewarding role in financial services? We have an exciting opportunity for a Financial Services Specialist to join our team at Get Recruited (UK) Ltd in Salisbury.As a Financial Services Specialist, you will be responsible for managing your own accounts from initial contact to completion, providing exceptional customer...