Compliance Risk Manager

14 hours ago


Salisbury, Wiltshire, United Kingdom Merje Full time
Job Overview
Merje is seeking an experienced Compliance Risk Manager to join their team on a permanent basis. This role will involve undertaking the risk-based second line monitoring function, ensuring the effectiveness of compliance controls in place within the business.

About the Role
This position requires at least 3 years' experience in a compliance monitoring function of a financial planning and/or investment management business. The successful candidate will have a good understanding of financial planning markets and extensive knowledge of the financial planning process through industry exams and CPD. They will be responsible for staying up-to-date with Consumer Duty training and regulations as they pertain to financial planning operations and administration.

Key Responsibilities
- Undertake routine, discovery, and thematic reviews as required and produce draft reports for approval.
- Conduct bespoke investigations where risk indicators indicate a significant breach of company procedure or FCA rules.
- Stay current on industry developments and regulatory changes affecting the financial planning sector.

Requirements
- At least 3 years' experience in a similar role.
- Strong understanding of financial planning markets and processes.
- Excellent communication and report writing skills.

Salary
The estimated salary for this position is £45,000-£60,000 per annum, depending on experience.

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