Financial Regulatory Compliance Specialist

1 week ago


Salisbury, Wiltshire, United Kingdom Merje Full time
Job Description

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:



  • 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

    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

    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...


  • 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

    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 Get-Recruited (UK) Ltd Full time

    About the OpportunityWe are seeking a highly skilled Financial Services Regulatory Associate to join our team in Salisbury. As a Financial Services Regulatory Associate, you will be responsible for managing your own client accounts and schemes from end-to-end. This includes liaising with clients and third parties on a daily basis, handling queries, ensuring...


  • Salisbury, Wiltshire, United Kingdom Merje Full time

    About MerjeMerje is a leading financial planning and wealth management firm seeking an experienced Regulatory Risk Specialist to join our team.Job OverviewWe are offering a competitive salary for this role, estimated to be around £50,000 - £60,000 per annum, depending on experience.Key ResponsibilitiesUndertake second-line of defence compliance monitoring...


  • 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

    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 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 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...


  • 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 Get-Recruited (UK) Ltd Full time

    About the JobWe are looking for a highly skilled Regulatory Account Manager to join our team in Salisbury. As a Regulatory Account Manager, you will be responsible for managing your own client accounts and schemes from end-to-end. This includes liaising with clients and third parties on a daily basis, handling queries, ensuring compliance with regulatory...


  • 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...

  • 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 Ltd Full time

    Company OverviewWe are partnered with an exceptionally fast-growing business based in Salisbury who have an exciting opportunity for a Client Associate to join the team.Salary and BenefitsUp to £35K + hybrid working + 4-day week after probation, including 25 days holiday + birthday off and more.Job DescriptionThis is an outstanding opportunity to manage...


  • Salisbury, Wiltshire, United Kingdom The Portfolio Group Full time

    Unlock your potential as a Health and Safety Consultant with The Portfolio Group!We are seeking a results-driven professional to join our team in health and safety matters.The Portfolio Group provides health and safety guidance to diverse clients worldwide.This role presents an exciting opportunity for innovative thinkers to drive positive change in health...


  • 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 Greenbean Full time £29,000 - £31,000

    Greenbean is seeking a Conflict Resolution Specialist to join their team in Salisbury. This role offers a salary of £30,000-£32,000.About the RoleThe successful candidate will work within a tight-knit team to respond to and resolve complaints relating to multiple products. As a Conflict Resolution Specialist, you must remain accountable for customer care...


  • Salisbury, Wiltshire, United Kingdom GetRecruited UK Ltd Full time

    Get Recruited UK Ltd is seeking a talented Business Development Specialist to join their team in Salisbury. As a key member of the team, you will manage your own accounts from cradle to grave, handling a variety of calls and clients on a daily basis.Key Responsibilities:Develop and maintain strong relationships with existing clientsLiaise with clients and...