Compliance Director

3 weeks ago


Liverpool, Liverpool, United Kingdom MERJE Full time
About the Role

Merseyside (Hybrid) based MERJE is seeking a seasoned compliance professional to lead their wealth management firm's regulatory affairs. The ideal candidate will have extensive experience in compliance within the wealth management or financial services sector, with a proven track record of ensuring adherence to FCA regulations and other applicable standards.

The successful candidate will be responsible for developing and implementing a robust compliance framework, leading the compliance team, and providing strategic leadership and guidance to maintain the firm's reputation for excellence and regulatory integrity.

Key Responsibilities:

  • Develop and implement a compliance framework aligned with FCA regulations and other applicable standards.
  • Lead the compliance team, providing mentoring, training, and performance management to ensure high standards.
  • Monitor regulatory developments, assess their impact, and advise senior management on necessary actions.
  • Conduct regular compliance risk assessments and ensure the effective delivery of monitoring plans.
  • Act as the primary point of contact for regulatory bodies, including handling notifications, submissions, and communications.
  • Review and approve financial promotions and client communications to ensure compliance.
  • Drive continuous improvement by embedding a culture of compliance across the organisation.

What We Offer

  • A competitive salary of £80,000 - £100,000 per annum, depending on experience.
  • Opportunities for professional development and career progression.
  • A supportive and collaborative work environment.
  • The chance to make a meaningful impact in a respected and growing firm.

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