A specialist recruitment consultancy operating within Compliance, Credit Risk & Analytics, Customer Contact, Finance & Audit, ​Financial Crime & Fraud, Procurement and Risk Management

Compliance Analyst

Newcastle

£32,000 + Benefits

Based in the Newcastle office, the Compliance Associate will assist the Compliance Team in delivering a range of compliance solutions to its clients. The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within a team and be pro-active. The role will involve: Support the Compliance Associates and Compliance Managers to ensure that the firm and its clients are in compliance with FCA regulatory and compliance rules Support and manage the on-boarding process (KYC/AML checks/credit checks, etc) of new FCA regulated corporate teams and individuals within the financial services industry Support the compliance team on a variety of client facing compliance projects Conduct research and prepare documentation in response to client inquiries Undertake file checking and file reviews Participate in internal compliance training programs as part of continuing learning and development program Desire to expand formal and informal knowledge about FCA regulation Key Requirements: Prior experience within an FCA regulated services firm, within a Compliance function Some understanding of Financial Conduct Authority’s regulatory frameworks A-level and Bachelors degree preferred

Development Manager (home/field based)

Birmingham

c£50,000 + Benefits

The key purpose of the role is to design, implement and deliver engaging training programmes to ensure all our advisers are fully competent and versed on new regulations. You will work closely with Senior Managers, Advisers and Paraplanners to understand individual training requirements across the business. Key responsibilities include: Design and implement individual and group training activities Support new colleagues and ensure all advisers achieve and maintain CAS status Deliver the company induction programme Attend client meetings and facilitate role play opportunities to promote best practice. The Person: Level 4 Diploma in Financial Planning Previous experience of working as an adviser would be advantageous Understanding of financial planning Demonstrable training experience

Development Manager (home/field based)

Leeds

c£50,000 + Benefits

The key purpose of the role is to design, implement and deliver engaging training programmes to ensure all our advisers are fully competent and versed on new regulations. You will work closely with Senior Managers, Advisers and Paraplanners to understand individual training requirements across the business. Key responsibilities include: Design and implement individual and group training activities Support new colleagues and ensure all advisers achieve and maintain CAS status Deliver the company induction programme Attend client meetings and facilitate role play opportunities to promote best practice. The Person: Level 4 Diploma in Financial Planning Previous experience of working as an adviser would be advantageous Understanding of financial planning Demonstrable training experience

Interim Group Tax Manager

Sheffield

c. £500 per day

My client, a large Pan European FTSE listed organisation, is looking for an Interim Group Tax Manager, reporting to the Group Financial Controller to handle the direct management of the Group’s Tax affairs, ensure compliance with Tax legislation and develop / implement planning opportunities to maximise the group’s Tax position. Key responsibilities include: Overseeing the management of the Group Tax functions and establish a clear Tax policy aligned to the Group’s overall vision and monitor and review the tax policies and ensure procedures/ controls are kept up to date. Overseeing the Group’s tax reporting process, consolidating and reviewing subsidiary submissions and organising deliverables to the Group audit committee and external auditors – for full year and interims. Managing the tax profile of the Group and manage relationships with tax authorities and external tax advisors, and working with Regional FD's to ensure compliance with local tax regimes. Managing the preparation and submission of UK Tax returns for all companies (direct and indirect taxes), reviewing year-end tax provisions and tax disclosures for the statutory accounts for all UK companies, and co-ordinating implementation for any tax planning or restructuring activities. Providing tax advice to Board and all functions across the group to support business decisions and ensure that tax plays an appropriate role in the decision-making process and that the corporate structure meets the commercial needs of the business. Co-ordinating the implementation for any tax planning or restructuring Developing internal controls in respect of direct and indirect tax compliance and take ownership of the Senior Accounting Officer review process. The Person: You will be a qualified professional who can demonstrate a track record of success in their careers to date with a recognised accounting/tax qualification (ACA / CTA). You will have worked in a direct corporate tax environment with exposure to other taxes (personal & indirect), and will be expected to provide commercial insight into the various business issues across the Group and create opportunities to maximise value. You will possess a positive outlook with a 'can do' attitude, with the ability to set your own agenda and work priorities. You will be confident and able to offer opinions and be prepared to be challenged on them. 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.

Audit Manager

Gloucestershire

£52,000 - £58,000

Our client is a long established and highly regarded wealth management firm who are recruiting for an Audit Manager to join their office in Gloucestershire. The roles involves and delivering complex audits assignments (where appropriate with a focus on using data analytics) to provide assurance to senior management on the effectiveness of the control environment, as well as identifying opportunities to enhance the efficiency of business processes. Key responsibilities include: • Plan, lead and deliver audits to a high quality and in compliance with audit methodology, within agreed budget and timescales. • Promote and develop the use of data analytics by the internal audit team to support the efficient delivery of audits and provide enhanced insight to management on their processes. • Engage with stakeholders, throughout audits, to ensure they are kept up-to-date and are aware of emerging issues. • Take full responsibility for producing clear, comprehensive and concise scope documents, audit working papers and impactful audit reports. • Present findings to senior management and agree appropriate actions which balance risks, strategic objectives and commercial realities. • Act as Lead Auditor on larger audit assignments, managing other colleagues and co-source auditors. Required Skills: • Substantial knowledge of the financial services industry and working in a regulated company. • Good understanding and practical experience of internal audit methodology and process. • Hands-on experience of deploying data analytics during the delivery of audits. • The ability to concisely and impactfully articulate audit findings to Directors and senior management, and cope with challenging conversations. • Strong personal impact with the ability to build enduring relationships across the business. 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.

Lead Credit Risk Analyst

Leeds

Up to £50,000

An established Financial Services business that prides itself on providing excellent products and services to its loyal customer base. A well-regarded organisation that has won awards for its financial products, employee engagement and for supporting local communities with charitable efforts. This company is unable to provide sponsorship Key Responsibilities of the Lead Credit Risk Analyst: Focus on analysing, improving, implementing and monitoring collections strategy and policy Use SAS and/or SQL to conduct analytics Support junior team members to help develop the capacity and capability of the Credit Risk team Build strong internal and external relationships Ideal knowledge and experience for the Lead Credit Risk Analyst role: Strong Credit Risk background with proven experience in Collections Strategy is essential Good technical skills with SAS (preferred), SQL or similar Analytically minded and good problem solving skills Excellent communication abilities 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.

Deputy Data Protection Compliance Officer

Liverpool

£ Competitive

Overview: Located in Liverpool, Merseyside, the Deputy Data Protection Compliance Officer (DDPCO) is responsible for supporting the Data Protection team within the Compliance department, specifically the Data Protection Compliance Officer in the daily work duties relating to data protection. They are responsible for the daily tasks of the Data Protection team including monitoring notifications to the Data Protection mailbox and carrying out assessments for data protection breaches and individual rights requests. The successful candidate will play a key role in change and new projects in order to provide guidance and advice to the business and support all proactive related activities relating to Data Privacy. Key responsibilities include: Assist the Data Protection Compliance Officer (DPCO) to develop, embed & monitor data privacy management and oversight across the business Responsible for leading data protection monitoring reviews across the firm and assisting the DPCO with the develop of the annual DP monitoring programme Assist with the development of the 2nd line of defence (2LOD) privacy programme bringing new ideas to ways of working and helping to embed this within the organisation Assist the business in developing the appropriate policies relating to data protection Stakeholder management and providing guidance and support in relation to the DPIA Process Support the Data Protection Compliance Officer and help to embed the desired data privacy culture within the firm Providing guidance on change programmes and new projects from a Data Privacy Perspective The ideal Candidate: Good knowledge and understanding of The Data Protection Act 2018 and GDPR Relevant qualification relating to Data Protection/Data Privacy. Knowledge and experience of information security and data protection risk management Strong ability to disseminate and clearly communicate GDPR and ICO matters effectively Ability to provide a commercial view whilst considering the high importance of Data Subjects Policy and process adherence and oversight Ability to work under pressure Confident communicator Ability to analyse complex business issues into simple & clear advice and priorities 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.

Investment Risk Analyst – Asset Manager

London

£55,000 – £65,000

A leading global asset manager is looking for an Investment Risk Analyst to join their growing team in the UK. This is a diverse role which will expose you to multiple business lines and products as you support the build-out of the organisation’s Risk Framework, which was recently redesigned to support their continuous growth and ambitious future plans. You’ll be reporting directly to the Head of Investment Risk and on any given day, you might: · Support the Portfolio Risk Reporting processes · Use Risk systems to produce various Risk metrics and inform the front office on the level of risk in the portfolio · Collaborate with the client service group on new products · Ensure that risks are being effectively managed and that the business is compliant with relevant regulation · Perform VaR Back-testing, analysis with subsequent data cleaning and model enhancement where necessary · Provide support and assistance to the regional and global Heads of Investment Risk · Suggest improvements to overall enhance the risk reporting analytics · Attend governance committees with the CRO and act as the Risk Control Committee secretariat This might be the role for you if you have: · A degree in Financial Engineering, Maths, Statistics, Physics or a similar discipline. Bonus if you are PhD level educated but not required · Experience within a market/investment risk role, preferably within an asset management or sell-side company · A FRM, CFA, PRM or similar qualification or you are willing to study to obtain one · Strong ‘’end user’’ computer programming skills such as Excel VBA macros, Access, SQL etc. · A good understanding of the financial markets and products, in particular derivatives (ideally interest rate derivatives) · Previous experience of applying concepts to real instruments/portfolios · Knowledge of the UCITS and/or AIFMD concepts would be helpful but not a necessity · Strong stakeholder management and communication skills who is confident negotiating complex risk concepts and data to multi-disciplinary audiences across all levels of seniority 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.

Compliance Monitoring Analyst – Asset Manager

London

£60,000 basic salary + package

Our Client A well established and highly successful Asset Manager are seeking to recruit a Compliance Monitoring Analyst to work closely with the Head of Compliance Monitoring in performing firm wide thematic reviews. The Role Reporting in to the Head of Compliance Monitoring, you will be expected to deliver high quality Compliance Monitoring activities in a targeted manner. Your duties will include: • Undertake thematic reviews and surveillance monitoring activities as established by the Compliance Monitoring Plan to ensure compliance with regulatory requirements and to test adherence to internal policies and procedures • Liaise with relevant staff/business managers to ensure that compliance monitoring findings are discussed and the timeframes for the completion of any remedial actions are agreed • Regular testing, thematic and ad-hoc reviews to test both compliance with regulation and the delivery of fair customer outcomes • Escalate any significant issues, weaknesses or outstanding action items to the Head of Compliance Monitoring • Tracking remedial actions with the business and escalate where necessary • Assisting the Head of Compliance Monitoring with the production of periodic reports to Boards and Committees. • Support the Head of Compliance Monitoring with other ad hoc tasks Key Requirements • 2-3 years of Compliance Monitoring experience, ideally gained in an Asset or Wealth Management environment • Experience of scoping and conducting thematic reviews essential • Familiarity with FCA Handbook and regulatory frameworks • Be confident in dealing with senior stakeholders • Excellent organisational, communication and presentation skills

Senior Compliance Monitoring Manager – Wealth Manager

London

£100,000 basic salary + package

Client Our client is a highly successful financial services organisation with a focus in the Wealth/Investment space and due to continued growth an exciting opportunity has come about for an experienced Compliance Monitoring specialist to join their London office. Role • Lead the compliance monitoring and thematic review teams • Implement, manage and keep under review a Compliance Monitoring & Thematic Review framework • Stay abreast of developments in FCA rules and good practice to ensure the Compliance Monitoring & Thematic Review framework remains fit for purpose • Assist in the management of the wider compliance and governance teams • Produce accurate and timely Management Information and reports for presentation at relevant boards and committees • Ensure the team delivers daily, weekly, monthly and quarterly monitoring tasks • Manage the compliance monitoring process and ensure reviews are conducted on time according to the agreed compliance monitoring programme • Enhance and further develop monitoring tasks specifically in respect of Anti Money Laundering and Market Abuse Key Requirements: • Relevant Compliance Monitoring experience preferably gained within a Wealth or Investment or Asset Management environment. • Strong understanding of industry practices and disciplines ideally having implemented and developed Compliance Monitoring frameworks in the past • Working knowledge of FCA rules and Sourcebooks and good understanding of the emerging regulatory landscape Excellent stakeholder management skills at all levels of the organisation • Good communication and report writing skills.

Senior Financial Crime Manager

London

£70,000 - £75,000 + Package

A well established and highly successful Wealth/Investment Manager are seeking to recruit a Senior Financial Crime Manager to support the MLRO with the full remit of Financial Crime. Key responsibilities include: The role will focus on providing full financial crime advisory and monitoring to the organisation. You will: • Support the UK MLRO with the Financial Crime Framework • Assist in the design and delivery of policies, processes and procedures relating to financial crime • Support the financial crime risk assessment and country risk matrix across the UK and Group organisation • Producing monthly financial crime management information for use by key governance forums • Support the wider compliance department regarding AML, ABC, CTF, Sanctions and Tax-Evasion • Supporting the continued review and enhancement of the Group’s financial crime framework • Taking the lead in drafting of the annual U.K. financial risk assessment • Supporting in the production and updating of the Financial Crime Manual • Supporting the U.K. MLRO in the production of annual MLRO reports for the U.K. entities. • Regulatory horizon scanning and implement any regulatory changes impacting the financial crime framework. The Person For this role the ideal candidate will have extensive experience of providing a full financial crime service. You will have a detailed knowledge of the UK and EU financial crime regulatory regime and requirements. You will have experience of the Asset, Wealth or Investment Management industry and have a strong understanding of ‘best practice’ and associated guidance in asset or wealth management firms and of the systems and controls employed to ensure financial crime risks are mitigated This is a fantastic opportunity for an experienced Financial Crime professional to work within a well know business and take the lead on a number of initiatives within an international organisation 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.

Compliance Manager

Manchester

£Competitive Salary

The role will involve assisting the Compliance Director in the day-to-day management of the Compliance Function and undertaking the day-to-day supervision and line management of Compliance Function Staff. Key responsibilities include: Acting as the Deputy Compliance Officer for the business, providing day-to-day support and assistance to the CF10/SMF16 and carrying out all of the aspects of that role in the absence of the Compliance Director. Responsible for training, development and mentoring of the Risk and Compliance Analyst and the Compliance Monitoring Analyst Representing the Compliance Function at Executive Management Group Level. Assisting the Compliance Director for ensuring the appropriateness of the Company’s overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company’s business plan. Taking main responsibility for the delivery of the Company’s File Review Programme including all aspects of the work implicit in that Programme including but not limited to Client Onboarding, Communication, and ensuring the Suitability of Pension Transfers recommendations and any Investment Schemes. Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme. Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme. The Person: Experience in a similar (compliance/audit) role gained within the Financial Services Industry, preferably in the Financial Adviser / Pensions Transfers sector. Relevant professional qualifications, preferably including an appropriate qualification relating to Pension Transfers (e.g. CII Certificate in Pension Transfer Advice, Diploma in Financial Planning + AF7 Pension Transfers, G60 paper of the Advanced Financial Planning Certificate). Detailed knowledge of the FCA handbook with a detailed understanding of the requirements relating to Pension Transfers Business. 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.

Global Data & Information Security Manager (Exclusive appointment)

Leeds

£80,000 + benefits

My client is a very well know and long established financial services organisation who are currently looking for an individual to develop, maintain and effectively implement the company’s second line approach to Data Protection and Information Security governance in accordance with Data privacy/Information Security regulations and relevant codes of practice. Reporting directly to the Group Chief Financial Officer, Key responsibilities include: Define, implement and monitor compliant Data Privacy and Information Security governance solutions locally and in the context of the group’s global structure. Maintain and enforce suitable and relevant Data Protection and Information Security Policies reviewing on an annual basis to ensure the Groups compliance with relevant legislation. Responsible for the oversight and control of all Person Identifiable data held on all Company systems including telephone systems, HR systems and customer operations systems. Provide practical advice and solutions to the business, demonstrating solid technical knowledge of Data processing and Information Security arrangements Develop Data Privacy and Information Security compliance training across the business Participate in business initiatives across all markets as required Provide reports to the Board with regard to Group compliance with the Data Protection Act and related provisions. Lead on enquiries from Data Protection or Information Security compliance regulators. Provide guidance and oversight in respect of emerging threats and associated required control changes for both Data Protection and Information Security. Oversight of the Group ITDR strategy. Manage and give guidance to business stakeholders to assist in clear understanding of any Information Security Risks so that the risks are appropriately managed and mitigated in alignment with Group policy, ISO27001 framework and PCI DSS standard and continued certification. Set up and maintain a programme of Information Security risk assessments at an appropriate level. Introduce a set of minimum standards for information security that each territory will need to self-certify compliance with Establish, operate and maintain an Information Security monitoring regime and Information Security Management system. Plan & perform Data Protection and Information Security reviews for Group to support the Business. Support and advise the countries ensuring their compliance with policies, risk assessment methodologies, third party assessment methodologies. To be a Subject Matter expert within the Group for Data Protection and Information Security related matters. The Person: Knowledge of the Data Protection and Information Security industries, current security issues and trends. Strong understanding of ISO27001/27002 and the PCI DSS Familiarity with current legislative requirements and how these relate to Data Protection and Information Security practice. Excellent written and verbal communication skills. Ability to balance workload, prioritising work effectively. Understand business needs and priorities and how they relate to the Data and Information Security practices. Able to demonstrate a strong understanding of networking technologies, web servicing and cloud security and the specific security implications of each. Solid technical knowledge of data processing and IT security arrangement Despite the fact the role has a global remit, the role will primarily be office based in Yorkshire. The company is also generally open to flexible working arrangements to suit individual needs Salary range is broad but will be entirely commensurate with experience. MERJE have been appointed on the role exclusively Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

Financial Reporting Accountant

Manchester

c£45,000 DOE

I am currently partnered with an innovative and highly reputable organisation within the Charity sector, to recruit a qualified Financial Reporting Accountant to join the team in this newly created role. Due to growth and the business being engaged in new projects, they are seeking a technically astute individual who is looking to immerse themselves into a hands on role, offering excellent progression opportunities This role will suit someone with solid experience within corporate accountancy that is looking for a first time move to industry. You will be working alongside some brilliant mentors and will be taking ownership of the following: Producing high quality management accounts for the group in a timely manner Designing and implementing analytical reports, dashboards and ad-hoc analysis Work with the FP&A team to pro-actively seek to improve business and finance processes and influence business stakeholders where appropriate Preparing statutory accounts and leading on the preparation of information for external audits Providing advice on technical accounting and key areas of judgement Producing the monthly cash flow actuals with clear analysis Responsible for VAT and HMRC regulatory matters and returns. Requirements: ACA/ ACCA Qualified Strong technical background ideally in Audit or FINANCIAL Accounting with knowledge of Management Accounting methodologies. Be able to challenge senior stakeholders and confident when dealing with non-finance personnel. Be able to use own initiative and be a self-starter. This is an excellent opportunity to broaden your technical experience within a wider role providing exposure across to a wide area, offering excellent exposure within the business. If interested, please forward your CV for immediate consideration.

Management Accountant

Blackburn

c£45,000 DOE

MERJE Ltd are currently partnered with a rapidly growing business based in Blackburn to recruit a technically astute Accountant to join the business on a permanent basis. This role will suit someone with solid experience within corporate accountancy that is looking for a first time move to industry. Working alongside a continuously improving finance team, you will be responsible for effective accounting and reporting. You will build strong relationships with key stakeholders and influence decision makers to improve business performance in line with business strategy. You will be working within a variety of areas with responsibilities including: Lead on month end process and ensuring deadlines are achieved to support group reporting requirements Responsibility and production of management accounts Support the commercial finance team with information and performance analysis to drive decision making for local teams Develop processes and controls post month end Present performance to senior finance Management of Balance Sheet items Leading Balance Sheet control account reconciliation and review of these. Requirements: ACA/ ACCA Qualified Strong commercial awareness and analytical skills with solid Excel experience Be able to challenge senior stakeholders and confident when dealing with non-finance personnel. Be able to use own initiative and be a self-starter. This is an excellent opportunity to broaden your technical experience within a wider commercial role providing exposure across to a wide area, offering excellent exposure within the business.