Regulatory Compliance Officer

3 days ago


Salisbury, Wiltshire, United Kingdom Merje Full time
Job Description:

We are seeking an experienced Compliance Monitoring Officer to join our team at Merje, a leading financial planning and wealth management firm. The successful candidate will be responsible for undertaking risk-based second-line monitoring functions, assisting the Head of Regulatory Compliance & Risk in delivering the annual compliance monitoring plan, and staying up to date on Consumer Duty training and regulations.

The ideal candidate will have at least 3 years' experience in a compliance monitoring function of a financial planning and/or investment management business. They will also need to have excellent communication skills, both verbally and in writing, as well as the ability to work effectively in a fast-paced environment.

The estimated salary for this position is around £50,000 - £65,000 per annum, depending on experience. If you are a detail-oriented and analytical individual who is passionate about compliance and risk management, we encourage you to apply.

About Merje:

Merje is a leading financial planning and wealth management firm that provides expert advice and guidance to individuals and businesses. We pride ourselves on our commitment to excellence and our ability to deliver tailored solutions that meet our clients' unique needs.

Key Requirements:
  • At least 3 years' experience in a compliance monitoring function of a financial planning and/or investment management business.
  • Good understanding of financial planning markets.
  • Extensive technical knowledge of the financial planning process through industry exams and CPD.


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