Senior Regulatory Compliance Expert

4 days ago


Deeside, Flintshire, United Kingdom Merje Full time
Job Description

Merje, an award-winning independent financial advice firm, seeks a skilled Senior Regulatory Compliance Expert to join their team on a permanent basis. This role is responsible for ensuring the business meets all regulatory obligations and supports the Director in fulfilling SMF16/17 responsibilities and wider compliance duties.

Key Responsibilities
  • Developing a Positive Firm Culture: Building a positive ethical firm culture that prioritizes clients' needs, fostering a collaborative environment where staff can thrive.
  • Regulatory Obligations: Ensuring the business adheres to all relevant regulations, staying up-to-date with industry developments and best practices.
  • Director Support: Collaborating closely with the Director to fulfill SMF16/17 responsibilities and wider compliance duties, providing guidance and support as needed.
  • Risk Assessments: Conducting regular risk assessments to identify areas for improvement, developing and implementing policies and procedures to ensure compliance.
  • Staff Guidance: Providing training and support to staff on compliance matters, maintaining accurate records and reporting on compliance activities.

The ideal candidate will have excellent knowledge of regulatory requirements and experience in compliance roles within the financial sector. In return, Merje offers a competitive salary of £55,000 - £65,000 per annum, depending on experience, and a range of benefits including health insurance, pension scheme, and professional development opportunities.



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