Financial Services Compliance Specialist
4 days ago
Role Overview
">As a Financial Services Compliance Specialist, you will play a crucial role in managing and resolving client complaints, ensuring regulatory compliance, and contributing to process improvements.
This is an exciting opportunity to join a central compliance team at MERJE Ltd, managing complaints across multiple entities and liaising with regulatory bodies.
The company offers a dynamic environment for professionals looking to advance their careers in the financial sector.
- Handle and investigate complaints across multiple entities
- Draft final response letters to clients in line with regulatory expectations
- Liaise with the Financial Ombudsman Service (FOS) and PI insurers
- Conduct root cause analysis and provide feedback to improve processes
- Prepare monthly reports for internal committees
Required Knowledge and Experience:
- Extensive experience in complaints handling, preferably in a similar firm
- Strong knowledge of independent financial advice products and services
- Excellent time management skills and ability to handle competing priorities
- Team player with the ability to work independently
- Diploma in Regulated Financial Planning (CII / CISI) or Diploma in Governance, Risk & Compliance
Salary: £45,000
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