Regulatory Affairs Specialist

5 days ago


Deeside, Flintshire, United Kingdom Merje Careers Full time
Job Description

We are seeking a highly skilled Regulatory Affairs Specialist to join our team at Merje Careers. The ideal candidate will have a strong background in regulatory compliance and risk management.

Key Responsibilities:

  • Assist the Compliance Officer in completing actions arising from the firm's Business Diary and Compliance Monitoring Programme
  • Support the Compliance Officer with the firm's Complaints Handling process
  • Stay up-to-date with regulatory changes
  • Collaborate with the Compliance Officer to prepare for meetings with the Board and General Manager, and undertake any directed actions
  • Ensure the team's adherence to the Financial Services and Markets Act 2000 and relevant FCA rules at all times
  • Guarantee the team's compliance with TCF, SMCR, T&C, and financial crime procedures (anti-money laundering, data security, anti-bribery, fraud, and corruption) at all times
  • Challenge or report, where necessary, the advice provided by advisers
  • Contribute to post-sale reviews of at least 10% of cases

About the Role:

  • Salary: £55,000 - £65,000 per annum
  • This role is perfect for those passionate about regulatory compliance and risk management
  • Opportunity to work with an award-winning independent financial advice firm


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