Financial Planning Compliance Specialist
2 days ago
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.
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