Compliance Leadership Position

3 weeks ago


Liverpool, Liverpool, United Kingdom MERJE Full time

Job Description

MERJE is a leading recruitment agency working closely with a rapidly expanding wealth management firm dedicated to delivering tailored investment solutions to their valued clients. Due to continued growth and success, the firm is looking to recruit a Head of Compliance to lead their compliance team and oversee all compliance activities.

Key Responsibilities

  1. Strategic Leadership: Provide strategic leadership and guidance to the compliance team, ensuring adherence to regulatory standards and internal policies.
  2. Regulatory Knowledge: Stay up-to-date with regulatory developments and assess their impact on the firm's operations.
  3. Team Management: Lead and manage the compliance team, providing training, mentoring, and performance management to ensure high standards.
  4. Risk Assessment: Conduct regular compliance risk assessments and ensure the effective delivery of monitoring plans.
  5. Regulatory Liaison: Act as the primary point of contact for regulatory bodies, handling notifications, submissions, and communications.
  6. Financial Promotions: Review and approve financial promotions and client communications to ensure compliance with regulatory requirements.

Required Skills and Qualifications

  • Experience and Qualifications: Possess extensive experience in compliance within the wealth management or financial services sector, along with relevant professional qualifications (e.g., ICA, CeMAP, CISI).
  • Leadership Skills: Demonstrate proven ability to manage and develop teams, showcasing strong leadership and mentoring skills.
  • Communication and Analytical Skills: Exhibit exceptional communication and interpersonal skills, with the ability to engage effectively with stakeholders at all levels, and highly analytical and detail-oriented capabilities.

Benefits

  • Competitive Salary and Benefits Package: Receive a competitive salary and benefits package that reflects your skills and experience.
  • Professional Development Opportunities: Enjoy opportunities for professional growth and career advancement within a supportive and collaborative work environment.
  • Meaningful Impact: Contribute to a respected and growing firm, making a significant impact in the wealth management sector.


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