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Compliance Monitoring Specialist

2 months ago

London, Greater London, United Kingdom MERJE Ltd Full time

MERJE Ltd is seeking a skilled Compliance Monitoring specialist to support a fast-growing trading platform in London.

  • Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan, ensuring alignment with regulatory requirements and business processes.
  • Identify any gaps or weaknesses in the Plan and propose remedial actions to mitigate risk and improve compliance.
  • Assist with scoping, implementing, and managing second-line testing to ensure regulatory compliance and business process alignment.
  • Document findings, recommended actions, and management responses, including agreed timescales and action owners.
  • Follow up on management's implementation of agreed compliance actions and report all outstanding actions to the Senior Compliance Manager.
  • Track business unit actions to mitigate risk and support continuous improvement across the business.
  • Support the wider compliance team with ad-hoc tasks as required.

Requirements:

  • Minimum 2 years of relevant Compliance Monitoring experience, preferably gained within a stockbroking/trading environment.
  • Excellent interpersonal skills and ability to interact with people at all levels.
  • Strong drafting and report writing skills.
  • Ability to work on multiple projects simultaneously.
  • Collaborative mindset, with the ability to work with all business areas and build strong relationships with key business partners.
  • Able to work both independently and as part of a small cohesive team.