Wealth Management Governance

3 weeks ago


Liverpool, Liverpool, United Kingdom MERJE Full time

Company Overview

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.

About the Role

We are seeking a seasoned compliance professional to join our client's team as Head of Compliance. This role offers an exceptional opportunity for a motivated individual to shape the firm's compliance strategy and contribute to its continued success.

Main Responsibilities

  • Developing Compliance Frameworks: Design and implement a robust compliance framework aligned with FCA regulations and industry standards.
  • Leading the Compliance Team: Provide strategic guidance, mentorship, and performance management to ensure high standards across the department.
  • Staying Ahead of Regulatory Changes: Monitor regulatory developments, assess their impact, and advise senior management on necessary actions to maintain regulatory integrity.
  • Conducting Risk Assessments: Conduct regular compliance risk assessments and implement effective monitoring plans to mitigate potential risks.
  • Liaising with Regulators: Serve as the primary point of contact for regulatory bodies, handling notifications, submissions, and communications efficiently.
  • Reviewing Financial Promotions: Ensure financial promotions and client communications comply with regulatory requirements.
  • Cultivating a Compliance Culture: Embed a culture of compliance throughout the organization, driving continuous improvement and excellence.

What We Offer

  • 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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