Financial Regulatory Compliance Specialist
1 week ago
We 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 regular reviews of compliance controls, identifying areas for improvement and implementing corrective actions.
- To assist the Head of Regulatory Compliance & Risk in developing and delivering the annual compliance monitoring plan, with a focus on emerging risks.
- To design and undertake thematic reviews as required, producing draft reports for approval by the Head of Regulatory Compliance & Risk.
- To investigate potential breaches of company procedure or FCA rules, staying up-to-date with relevant training and regulations.
- To maintain a good understanding of financial planning markets and UK regulation, applying this knowledge to identify and mitigate risks.
Requirements:
- At least 3 years' experience in a compliance monitoring function, preferably within the financial planning and/or investment management sector.
- Strong analytical and problem-solving skills, with the ability to work independently and as part of a team.
- Excellent communication and presentation skills, with the ability to effectively report findings to senior stakeholders.
- A good understanding of financial planning markets and UK regulation, with the ability to apply this knowledge to identify and mitigate risks.
About the Role:
This is an excellent opportunity for a motivated and detail-oriented individual to join our team and contribute to the success of our clients. The successful candidate will have a strong understanding of regulatory requirements and the ability to effectively communicate complex information to stakeholders.
What We Offer:
- A competitive salary of approximately £55,000 - £65,000 per annum, depending on experience.
- Ongoing professional development and training to support your career goals.
- A dynamic and supportive work environment, with opportunities to work closely with experienced professionals in the field.
How to Apply:
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