Compliance Monitoring Specialist
5 days ago
Job Title: Compliance Monitoring Specialist
Job Summary: We are seeking a highly skilled Compliance Monitoring Specialist to join our Compliance team. The successful candidate will be responsible for undertaking the risk-based second line monitoring function, reviewing the effectiveness of compliance controls in place, and assisting the Head of Regulatory Compliance and Risk in delivering the annual routine compliance monitoring plan.
Key Responsibilities:
- Undertake second line of defence compliance monitoring for review of the effectiveness of compliance controls in place
- Assist the Head of Regulatory Compliance and Risk in delivering the annual routine compliance monitoring plan
- Assist the Head of Regulatory Compliance and Risk in reprioritising the plan each quarter based on emerging risks in the business
- Undertake routine, discovery, and thematic reviews as required and produce draft reports for approval
- Stay up to date on Consumer Duty training and regulations as they pertain to financial planning operations and administration
Requirements:
- At least 3 years' experience in a compliance monitoring function of a financial planning and/or investment management business
- Confident and influential presentation skills, both internally and externally
- Excellent organisation skills, with ability to work to tight deadlines and manage multiple tasks
- Good understanding of financial planning markets
- Good knowledge of UK regulation
We are an Equal Opportunities Employer: Merje is committed to being an equal opportunities employer. We welcome applications from all qualified candidates and are committed to diversity and inclusion in the workplace.
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