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Compliance Officer
Cheshire, England (Remote) | c.£40,000 + Excellent Benefits Package | Permanent
Our client, a leading financial planning firm are looking for a Level 4 qualified Compliance Officer/Administrator with general compliance experience and ideally some file review and financial promotions experience. As Compliance Officer, you will be assisting the Head of Compliance in all aspects of the compliance regime, including: Auditing New Business Submission files, subject to Risk Rating of the Advisers. Providing reports and ensuring any remedial work is completed within a reasonable time scaleProviding the Advisers with pre-submission support on file content and pre-sale checking after induction to ensure they meet standards of the regulatory regime and in compliance with the firm’s policies and proceduresChasing of all Remedial Work for completed file audits, updating and maintaining all adviser records as requiredChecking all marketing material to ensure they are fair, clear and not misleading and requesting changes where necessary and logging approved materialEnsuring the Firm’s Compliance Monitoring Plan is adhered to on a monthly basisMonthly Reports on Compliance activity to the Company Directors for the Board MeetingMonitoring the Compliance Email Inbox, providing information and follow-up where appropriate, or allocating to the appropriate team member for their personal attentionEnsuring all necessary measures and paperwork have been completed to satisfy FCA requirementsOther Ad-hoc DutiesAssisting Advisers and Appointed Representatives with general support requests with queries, projects and other business activities and enquiries that require guidance from the Compliance Team. Key Skills & Experience: Experience in a similar (compliance) role gained within the Financial Services Industry, preferably in the Financial Adviser/Planning sector.Relevant professional qualifications, preferably including Diploma in Financial Planning Attention to detail with an ability to analyse complex financial information and provide credible challenge to the Company’s directors, managers and financial advisers.Ability to build and maintain relationships at all levels of the business to drive change and deliver the Company’s aim of “continuous improvement”.A high standard of communication skills including formal report writing.Detailed knowledge of the FCA handbook. Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.If you would like this job advertisement in an alternative format, please contact MERJE directly.
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Resilience Manager (Hybrid)
West Yorkshire, England (Remote) | c.£55,000 - £65,000 + Benefits | Permanent
MERJE is seeking a highly experienced Resilience Manager for a leading financial services firm. This pivotal role involves shaping the future of business resilience, developing...
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Senior Risk & Compliance Assurance Officer
Manchester City Centre, Greater Manchester, England (Remote) | c.£60,000 - £70,000 + Benefits | Contract
12 MONTH FIXED TERM CONTRACTMANCHESTER (HYBRID / HOME BASED) MERJE is excited to present an exceptional opportunity for a Senior Risk & Compliance Assurance Officer on...
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New
Compliance Officer
London, Greater London, England (Remote) | £135,000 - £145,000 | Permanent
MERJE is delighted to be partnering with an established and highly reputable global Hedge Fund in their search for a Compliance Officer for their London...
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New
Product Governance Manager
London, Greater London, England (Remote) | £55,000 + Package | Permanent
MERJE is currently working with a highly reputable discretionary wealth management business in their search for a Product Governance Manager.You will: Develop, implement, and maintain...
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New
Chief Compliance Officer
London, Greater London, England (Remote) | £160,000 - £180,000 | Permanent
MERJE is currently working with a boutique funds specialist in their search for a Chief Compliance Officer in London. This critical hire offers an exciting...
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New
Compliance and Risk Manager – Wealth Manager
London, Greater London, England (Remote) | £80,000 - £90,000 plus package | Permanent
MERJE is currently working with a highly reputable discretionary wealth management business in their search for a Compliance specialist. Working as part of an established...
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New
Risk & Controls Manager – Technology & Vendor Management
London, Greater London, England (Remote) | Up to £95,000 + bonus, health care, pension | Permanent
Role Overview & PurposeOpportunity to join a fast paced, growing and ambitious Banking firm within their 1st line Controls function. This is an integral role...
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New
Advice Operations Manager
Bournemouth, Dorset, England (Remote) | £70,000 - £80,000 | Permanent
MERJE is seeking an experienced Advice Operations Manager for a leading life insurance company. This role offers an exciting opportunity to lead and develop a...
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New
CDD Manager
United Kingdom (Remote) | £72k per year | Permanent
A leading wealth management firm is looking for a CDD Manager to oversee its Client Due Diligence (CDD) team. This is an exciting opportunity to take on...
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