Compliance Risk Officer
2 days ago
We are seeking a highly skilled Compliance Risk Officer to join our team at Merje Careers. This role is ideal for individuals who want to work in the financial services industry and have a passion for ensuring compliance with regulatory requirements.
The estimated salary for this position is £50,000 - £60,000 per annum, depending on experience.
About the RoleThis is an exciting opportunity to work as a Compliance Risk Officer for a leading financial planning and wealth management firm. The successful candidate will be responsible for undertaking second-line of defence compliance monitoring, assisting in the delivery of annual compliance monitoring plans, and designing thematic and discovery reviews.
The Compliance Risk Officer will also be responsible for producing draft reports for approval, undertaking bespoke investigations, staying up-to-date on Consumer Duty training and regulations, and considering client needs, treating them fairly, and acting in their best interests when executing administrative tasks.
Key Responsibilities- Undertake second-line of defence compliance monitoring for review of compliance controls
- Assist in delivery of annual compliance monitoring plans and reprioritise them each quarter
- Design thematic and discovery reviews, and undertake routine, discovery, and thematic reviews
- Produce draft reports for approval and undertake bespoke investigations
- Stay up-to-date on Consumer Duty training and regulations
- Consider client needs, treat them fairly, and act in their best interests when executing administrative tasks
To succeed in this role, you will need excellent analytical and problem-solving skills, strong communication and interpersonal skills, and the ability to work well under pressure. A good understanding of regulatory requirements and compliance policies is also essential.
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