Compliance Risk Specialist
2 days ago
**Company Overview**: MERJE is a leading recruitment agency specializing in financial services. We help top companies find the best talent to drive their success.
**Job Description**We are looking for a highly skilled Compliance Monitoring Officer to join our client, a reputable financial planning and wealth management firm. This is an excellent opportunity to work with a dynamic team and contribute to ensuring regulatory compliance across various operations.
The successful candidate will be responsible for undertaking risk-based second-line monitoring, reviewing the effectiveness of existing controls, and assisting in the design of thematic reviews. The role also involves producing draft reports and staying up-to-date with Consumer Duty training and regulations.
Key responsibilities include:
- Undertaking routine, discovery, and thematic reviews to ensure compliance with company procedures and FCA rules.
- Assisting the Head of Regulatory Compliance & Risk in delivering the annual compliance monitoring plan and reprioritizing it quarterly based on emerging risks.
- Designing and implementing bespoke investigations where necessary.
We offer a competitive salary of £45,000 per annum, commensurate with experience, and a range of benefits that support your personal and professional growth.
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Compliance Risk Management Specialist
4 weeks ago
Salisbury, Wiltshire, United Kingdom Merje Full timeAbout the Role:Merje, a leading financial planning and wealth management firm, is seeking a Compliance Risk Management Specialist to join our team on a permanent basis.Job Description:Undertake the risk-based second line monitoring function to ensure the effectiveness of compliance controls in place within the business.Assist the Head of Regulatory...
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Regulatory Compliance Specialist
1 month ago
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Compliance Monitoring and Risk Analyst
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Salisbury, Wiltshire, United Kingdom Merje Full timeJob Overview:We are currently seeking a highly skilled Compliance Monitoring Officer to join our team at Merje. The successful candidate will be responsible for ensuring the effectiveness of our compliance controls and procedures, as well as assisting the Head of Regulatory Compliance & Risk in delivering the annual compliance monitoring plan.As a Compliance...
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Compliance Risk Manager
3 weeks ago
Salisbury, Wiltshire, United Kingdom Merje Full timeWe are seeking a highly skilled Compliance Risk Manager to join our team. The successful candidate will be responsible for undertaking thematic reviews, discovery reviews, and bespoke investigations to identify any potential risks or breaches within the business.The ideal candidate will have extensive knowledge of financial planning processes and up-to-date...
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Regulatory Risk Specialist
3 weeks ago
Salisbury, Wiltshire, United Kingdom Merje Full timeAbout MerjeMerje is a leading financial planning and wealth management firm seeking an experienced Regulatory Risk Specialist to join our team.Job OverviewWe are offering a competitive salary for this role, estimated to be around £50,000 - £60,000 per annum, depending on experience.Key ResponsibilitiesUndertake second-line of defence compliance monitoring...
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Financial Regulatory Compliance Specialist
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Financial Planning Compliance Specialist
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