Regulatory Affairs Specialist
5 days ago
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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