Compliance Officer

4 weeks ago


Hexham, Northumberland, United Kingdom MERJE Ltd Full time

MERJE Ltd is partnering with a prestigious stockbroking firm to find a Compliance specialist.

This City-based firm specializes in capital markets, M&A, and debt advisory services.

As part of an established compliance team, you will play a key role in maintaining regulatory compliance and safeguarding the company's reputation.

You will:

  • Monitor and manage information barriers within the firm
  • Ensure compliance with FCA regulations and internal policies
  • Provide guidance on control room procedures to various departments
  • Assist with market sounding approvals and logging
  • Assist with Personal Account Dealing process and maintain required records
  • Maintain conflicts of interest register, declarations of interest process, and gifts and entertainment procedures
  • Assist with new client take-on requests, including background screening, due diligence checks, and coordinating documentation
  • Assist with AML and due diligence checks for corporate and institutional clients

The ideal candidate will have:

  • Regulatory compliance experience within the investment banking/broking sector
  • Control Room operation experience (preferred but not essential)
  • Awareness of the UK regulatory framework
  • Excellent communication skills
  • Attention to detail
  • Strong analytical skills


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