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

Compliance Policy & Guidance Manager

Telford

Competitive Salary

Financial Services firm operating in the Life and Pensions sector are looking to hire a Compliance Policy & Guidance Manager to join their established Compliance function located on the west side of Birmingham only a short distance from Wolverhampton. The primary focus of the role is to support the Compliance & Regulatory Guidance Team in providing an enhanced and proactive support to business areas on FCA Compliance matters with the aim of further deepening awareness of FCA requirements throughout the business and enhancing our Regulatory Risk control environment. Key Responsibilities: To support the Compliance Support & Regulatory Guidance Team Act in a business partnering role by having regular meetings with business units to cascade FCA developments and provide guidance to business units on regulatory developments, expectations and requirements; Identify risks or opportunities and engaging the business in formulating pragmatic, customer focussed and commercial solutions that minimise the risks and maximise the opportunities; Develop and maintain Compliance policies, guidelines and procedures which meet internal standards and applicable FCA requirements; Provide advice on FCA related matters on business developments and projects to support the business in delivering its compliance responsibilities. Deliver formal training across the business on FCA topics and developments and demonstrating the value of compliant outcomes; Analysis and dissemination of FCA publications, tracking delivery of regulatory change through to completion and escalating issues where appropriate Approval of financial promotions and other customer literature for compliance with FCA and other relevant regulatory requirements. Key Requirements- Detailed knowledge of Regulatory requirements affecting Life and Pensions Background in compliance ideally to include policy, advisory or guidance experience

Risk and Compliance Lawyer

Manchester

c.£60,000 + Benefits

The role will support the Risk and Compliance Manager in identifying and managing the firm's regulatory compliance and professional risks and will have operational responsibility for the risk and compliance team. The role will also focus on evaluating the firm’s compliance with the SRA Handbook, other relevant rules and legislation. This will include identifying and analysing risks and then assessing if their internal compliance controls and policies are operating effectively and recommending ways to strengthen their internal risk structure. Key responsibilities include: Serving as a confidential point of contact for all staff to seek clarification on issues of compliance Conducting internal investigations of compliance issues In conjunction with the risk and compliance team, performing an annual risk assessment on the key compliance areas, maintaining documentation of compliance activities and aid in the development of the firm’s compliance plan Analysing the findings of internal audits and file review data to identify any risk management issues and internal control deficiencies Preparing management reports regarding compliance operations and risks Monitoring and considering the impact of regulatory and legislative changes to identify gaps in the firm’s compliance knowledge and being proactive to address those gaps Annually reviewing, developing and updating compliance policies, procedures, client retainer documentation and processes/systems to ensure continuing relevance Managing the firm’s quality accreditations and liaising with external auditors as required Building on the firm’s approach and culture towards compliance and taking appropriate steps to improve when necessary Working with the Head of Risk and Compliance and others to develop and deliver an effective compliance training program, including appropriate induction training and ongoing training for all employees Instituting and maintaining an effective compliance communication program including promoting the use of the Risk & Compliance Microsite and raising awareness of emerging compliance issues and related policies and procedures Providing input into business and strategic decisions from a compliance perspective, including providing support for tender applications The Person: A detailed understanding of the regulatory framework, including the SRA Code of Conduct, SRA Accounts and other relevant rules and legislation The technical ability to identify, analyse and evaluate the impact of regulatory and legislative changes on the firm Experience of working with and developing regulatory policies, procedures and quality accreditations 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.

Risk and Compliance Lawyer

Birmingham

c.£60,000 + Benefits

The role will support the Risk and Compliance Manager in identifying and managing the firm's regulatory compliance and professional risks and will have operational responsibility for the risk and compliance team. The role will also focus on evaluating the firm’s compliance with the SRA Handbook, other relevant rules and legislation. This will include identifying and analysing risks and then assessing if their internal compliance controls and policies are operating effectively and recommending ways to strengthen their internal risk structure. Key responsibilities include: Serving as a confidential point of contact for all staff to seek clarification on issues of compliance Conducting internal investigations of compliance issues In conjunction with the risk and compliance team, performing an annual risk assessment on the key compliance areas, maintaining documentation of compliance activities and aid in the development of the firm’s compliance plan Analysing the findings of internal audits and file review data to identify any risk management issues and internal control deficiencies Preparing management reports regarding compliance operations and risks Monitoring and considering the impact of regulatory and legislative changes to identify gaps in the firm’s compliance knowledge and being proactive to address those gaps Annually reviewing, developing and updating compliance policies, procedures, client retainer documentation and processes/systems to ensure continuing relevance Managing the firm’s quality accreditations and liaising with external auditors as required Building on the firm’s approach and culture towards compliance and taking appropriate steps to improve when necessary Working with the Head of Risk and Compliance and others to develop and deliver an effective compliance training program, including appropriate induction training and ongoing training for all employees Instituting and maintaining an effective compliance communication program including promoting the use of the Risk & Compliance Microsite and raising awareness of emerging compliance issues and related policies and procedures Providing input into business and strategic decisions from a compliance perspective, including providing support for tender applications The Person: A detailed understanding of the regulatory framework, including the SRA Code of Conduct, SRA Accounts and other relevant rules and legislation The technical ability to identify, analyse and evaluate the impact of regulatory and legislative changes on the firm Experience of working with and developing regulatory policies, procedures and quality accreditations 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.

Business Analyst

Buckinghamshire

£50,000 - £55,000

Job Description: My client is looking for a Business Change Analyst to be responsible for delivering the objectives of Business Change Function. This involves participating in analysis, solutioning, leading change and facilitating successful delivery of selected projects and initiatives. Responsibilities Gathering data and coordinating resources from other support functions. Conducting workshops with business experts to elicit requirements, conduct gap analysis and generate potential solutions Analysis of complex data sets from multiple sources to identify and quantify improvement areas; use this analysis to recommend changes and as the basis for benefits tracking Assemble and manage project tools such as project briefs, project plans and action and risk logs Writing reports, instructions, and specifications and creating flowcharts Mapping the as-is process and the subsequent to-be process, including planned actions to achieve the to-be state. Developing effective working relationships with project teams to ensure optimum outcome for the project Functioning as an implementation team partner and aiding in action plan tracking Facilitating meetings and workshops for team members Providing administrative support in relation to ongoing projects and initiatives in pipeline Qualifications, Skills and Experience: Proven analytical background with strong data analysis skills Good understanding of the complexity for managing change Ability to motivate others and lead change Ability to prioritise and organise multiple concurrent tasks Evidence of ability to work to tight timelines and quality standards Able to communicate effectively using excellent verbal and written communication skills. Experience in planning and organisational skills/project management Strong Customer Focus Evidence of high attention to detail Team player but able to work individually to get things done Ability to engage stakeholders across multiple divisions Excellent Process mapping and designing skills Minimum 4-5 years as business change analyst or equivalent Min 2.1 Bachelor’s Degree and/or professional qualification Good knowledge of the MS Office suite Willingness to travel and work away from home

Financial Crime Manager

Manchester

£70,000 + Excellent benefits

Our clients are looking for a Financial Crime Manager in a permanent and effective role, within the Compliance and Risk function, which operates independently and with responsibilities to advise and assist the senior management and the Executive. The Financial Crime Manager will assist the Money Laundering Reporting Officer and provide the business with identification, recording and updating of their financial crime obligations regarding the regulated activities it performs, covered by the regulators and statutes. Key responsibilities include: Responsible for creating, completing, reporting and overseeing the implementation of remedial measures where deficiencies have been identified from the Financial Crime Risk Assessment (FCRA) on at least an annual basis Creating, recording and updating a financial crime rules map for the organisation which identifies the relevant regulation for the regulatory activity undertaken Responsible for identification, impact analysis and oversight of implementation of financial crime regulatory change via the regulatory change tracker To provide guidance on the requirements for the periodic financial crime reporting and to ensure the information provided by the business is sent to the regulators in a timely manner To assist on the regulatory due diligence and financial crime risk assessments of all proposed new acquisitions and new appointed representatives To devise, implement, record and maintain the businesses central registers and monitor the closure of remedial action plans by the business Act as nominated officer with an open and transparent relationship with the National Crime Agency (NCA) To undertake investigations of suspicions of bribery and corruption Provide the business with a proactive, expert and effective regulatory compliance advisory service on financial crime Develop, implement and update adequate financial crime risk policies, standards and processes for the nature, scale and complexity of the business Act as deputy for the Chief Risk Officer in their role as ‘Money Laundering Reporting Officer’ in their absence and at relevant governance committees The Person: Practical and pro-active approach Self-motivated, and well organised Assertive, analytical, accurate and tenacious Confidence, gravitas and self- assurance An ability to think and act independently Team-working capabilities and values the importance of building mutually beneficial relationships Excellent organisational skills Qualifications/Key Skills: A strong academic record preferably to A level standard and professional qualifications also preferred Excellent understanding of FCA/ CBI/ CCPC regulatory and Financial Crime statutory requirements and regulatory culture Proven experience in dealing with regulatory bodies Understanding of consumer credit / insurance mediation activities A strong and demonstrated ability to provide pragmatic financial crime advice and a thorough understanding of relevant statutory and regulatory requirements Ability to communicate clearly and concisely on complex financial crime issues at all levels, both internally and externally Ability to resolve conflict and deal with confrontation through tact and skill Display initiative in identifying and presenting solutions to support activities and plans Proven coaching and development skills A strong and demonstrated ability to provide financial crime advice Understanding of governance and control frameworks 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 Promotions Officer

Gloucestershire

c. £36,000 + Excellent Benefits

Our client is a leading Financial Services organisation who offer financial advice and services for individuals and business owners. An exciting opportunity has arisen to join the team to help the Financial Promotions department provide an effective approvals service on marketing and promotional communications. As Financial Promotions Officer, your main responsibility is to demonstrate and continually develop technical knowledge and competence with a view to having the responsibility for ensuring that they meet the standards prescribed by the Financial Conduct Authority (FCA), Advertising Standards Authority (ASA) and other regulatory organisations in the UK and Asia. Key responsibilities include: Demonstrate knowledge of both the branding and Corporate requirements and technical knowledge in respect of the products and services offered by the business Ensure the Company is not exposed to any regulatory criticism or reputational risk Assist colleagues and other business areas with queries they may have relating to financial promotions and the financial promotions function Develop relationships with key stakeholders in other business areas, such as Marketing, Investment Management and Tax and Technical team Deliver compliant financial promotions in line with agreed 48-hour SLA, keeping the submitter informed of progress and where necessary meeting alternative deadlines set and agreed Highlight any concerns or issues to the Head of Financial Promotions Ensure that all facts are established prior to decisions being made, providing a preferential service for Corporate items affecting the whole business and their partners Make recommendations to continually improve the quality of financial promotions and the Financial Promotions function itself, providing constructive feedback to authors or the Financial Promotions Manager as appropriate Person: First-hand experience of approving financial promotions in a busy regulatory environment Ideally a good understanding of digital mediums, especially LinkedIn and google+ Good generic technical product and business knowledge and understand the financial services sales process High standard of communication skills Level 4 Diploma in Financial Planning or studying towards 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. To discuss the role in greater detail please contact Paul Sherlock on 0161 883 2746 or send through your CV to psherlock@merje.com

Compliance Policy & Advisory Manager

Manchester

to £80,000 + company car + benefits

My client is a market leader in their chosen field. Since its founding, a combination of organic growth and acquisitions have played a major part in the company’s progression to its current standing in today’s market. As part of this exciting evolution, the organisation is now looking to appoint a Compliance Policy & Advisory Manager to manage the policy and advisory team who are responsible for advising and assisting the senior management and the executive to comply with the firm’s obligations under the regulatory system. Key responsibilities include: Responsible for creating, completing, reporting and overseeing the implementation of remedial measures where deficiencies have been identified from the Compliance Risk Assessment (CRA) on at least a quarterly basis. Creating, recording and updating a rules map for the organisation which identifies the relevant regulation for the regulatory activity undertaken. Responsible for identification, impact analysis and oversight of implementation of regulatory change via the regulatory change tracker. To provide guidance on the requirements for the periodic regulatory reporting and to ensure the information provided by the business is sent to the regulators in a timely manner. Ensure effective regulatory and conduct risk training is delivered across the group. To assist on the regulatory due diligence and regulatory and conduct risk assessments of all proposed new acquisitions and new appointed representatives. Responsible for assessing, registering and de-registering FCA senior management functions and approved persons, and CBI controlled functions. To devise, implement, record and maintain the groups regulatory breaches register and monitor the closure of remedial action plans by the business. To devise, implement, record and maintain the process for notifications of issues to the regulators. To devise, implement and monitor the controls for the identification and oversight of material outsourcing arrangements by the business. Provide the business with a proactive, expert and effective regulatory compliance advisory service on: New or changes to existing regulation New or changes to business products and processes Production of regular regulatory and conduct management information for all governance fora up to the Board so they can identify, measure, manage and control these risks, covering: Outcomes of the CRA Regulation change and impact on the rules map Regulator interactions and requests Develop, implement and update adequate regulatory and conduct risk policies, standards and processes for the nature, scale and complexity of the business, and the nature and range of financial services and activities undertaken. Attendance as deputy for the Head of Compliance at relevant governance committees. Support the Head of Compliance in communicating the Compliance function’s vision, incorporating strategic goals and short-and medium-term priorities. Ensure that timely and constructive feedback and coaching is provided to all team members, allowing them to grow and fulfil their potential The Person Excellent understanding of FCA/ CBI/ CCPC regulatory requirements and regulatory culture. Proven experience in dealing with regulatory bodies. Good understanding of consumer credit / insurance mediation activities. A strong and demonstrated ability to provide pragmatic compliance advice and a thorough understanding of relevant regulatory requirements. Ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally. Ability to resolve conflict and deal with confrontation through tact and skill. Display initiative in identifying and presenting solutions to support activities and plans. Forward looking and focused on effective processes and increasing efficiency. Proven management, coaching and development skills. Salary is commensurate with experience but will reflect the significance of the role 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.

Compliance Monitoring Manager

Manchester

to £60,000 + company car + benefits

My client is a market leader in their chosen field. Since its founding, a combination of organic growth and acquisitions have played a major part in the company’s progression to its current standing in today’s market. As part of this exciting evolution, the organisation is now looking to appoint a Compliance Monitoring Manager to manage the Compliance monitoring team, with direct line management for a team of 5. Key responsibilities include: Responsible for creating, completing, updating and reporting on the Compliance/Risk Monitoring Programme on at least quarterly basis to the relevant governance fora. Overseeing the implementation of appropriate remedial measures to agreed timescales, where deficiencies have been identified. To assist in the updating of the Compliance Risk Assessment with output from the Compliance/ Risk Monitoring plan To create and update the Compliance resource planning. To create and ensure the Compliance Monitoring Methodology is kept up to date. To oversee the delivery of the Compliance Monitoring activity on a quarterly basis. To assist on the regulatory due diligence and regulatory and conduct risk assessments of all proposed new acquisitions and new appointed representatives. To record on the groups regulatory breaches, register and monitor the closure of remedial action plans by the business issues identified from the Compliance/ Risk Monitoring Plan. Production of regular Compliance monitoring management information for all governance fora up to the Board so they can identify, measure, manage and control these risks, covering progress and outcomes of the CMP Ensure that timely and constructive feedback and coaching is provided to all team members, allowing them to grow and fulfil their potential. The Person Understanding of FCA/ CBI/ CCPC regulatory requirements and regulatory culture. Good understanding of consumer credit / insurance mediation activities. A strong and demonstrated ability to deliver compliance monitoring activity and a thorough understanding of relevant regulatory requirements. Ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally. Ability to resolve conflict and deal with confrontation through tact and skill. Proven management, coaching and development skills. Salary is commensurate with experience but will reflect the significance of the role 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.

Head of Compliance

Manchester

£90,000 - £100,000 + benefits

My client is a market leader in their chosen field. Since its founding, a combination of organic growth and acquisitions have played a major part in the company’s progression to its current standing in today’s market. As part of this exciting evolution, the organisation is now looking to appoint a Head of Compliance to manage the Compliance team, with direct line management of 3 managers and 8 officers. The main purpose of the role will be to help the group in the identification, recording and updating of their regulatory obligations with regard to the regulated activities it performs. You will also provide leadership of the execution and maintenance of the Regulatory and Conduct risk policies, supporting the business, senior management, the Executive and the Board. Key responsibilities include: Responsible for creating, completing, reporting and overseeing the implementation of remedial measures where deficiencies have been identified on the following at least annually to the Board: Compliance Risk Assessment (CRA) and Compliance Monitoring Programme (CMP). Creating, recording and updating a rules map for the organisation which identifies the relevant regulation for the regulatory activity undertaken. Responsible for identification, impact analysis and oversight of implementation of regulatory change via the regulatory change tracker. To provide guidance on the requirements for the periodic regulatory reporting and to ensure the information provided by the business is sent to the regulators in a timely manner. Ensure effective regulatory and conduct risk training is delivered across the group. Conduct regulatory due diligence and regulatory and conduct risk assessments of all proposed new acquisitions and new appointed representatives Responsible for assessing, registering and de-registering FCA senior management functions and approved persons, and CBI controlled functions. To devise, implement, record and maintain the Groups regulatory breaches register and monitor the closure of remedial action plans by the business. To devise, implement, record and maintain the process for notifications of issues to the regulators. To devise, implement and monitor the controls for the identification and oversight of material outsourcing arrangements by the business. To create, implement, investigate, record and report on the whistleblowing standard. Responsible for being the prime contact for maintaining an open and transparent relationship with the Financial Services Ombudsman Services in the UK and Ireland. Devising, implementing and updating the regulated complaints risk standard and procedure in accordance with the requirements of the FCA Handbook (DISP) and CBI (Consumer Code). Devising, implementing and delivering compliant root cause analysis. Provide the business with a proactive, expert and effective regulatory compliance advisory service on: New or changes to existing regulation New or changes to business products and processes Production of regular regulatory and conduct management information for all governance up to the Board Develop, implement and update adequate regulatory and conduct risk policies, standards and processes for the nature, scale and complexity of the business, and the nature and range of financial services and activities undertaken. To be one of the main contact points with the regulators and maintain a transparent and proactive manner in terms of the relationship. To retain the record of all regulatory interactions and oversight the delivery of regulatory requests for information or actions. Attendance at governance committees. Monitor and review objectives with team members on a regular basis, providing the necessary resources and support Ensure that timely and constructive feedback and coaching is provided to all team members, allowing them to grow and fulfil their potential. The Person Excellent understanding of FCA/ CBI/ CCPC regulatory requirements and regulatory culture. Proven experience in liaising with regulatory bodies. Good understanding of consumer credit / insurance mediation activities. A strong and demonstrated ability to provide strategic compliance advice and a thorough understanding of relevant regulatory requirements. Ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally. Ability to resolve conflict and deal with confrontation through tact and skill. Proven leadership, coaching and development skills. Comprehensive understanding of governance and control frameworks Track record of strategy development and implementation Salary is commensurate with experience but will reflect the significance of the role 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.

Underwriter - Commercial Mortgages

Leeds

Up to £40,000 + Benefits

MERJE is looking for an experienced Underwriter to join the commercial mortgages team within a major FS company. A well-regarded business with a long history of providing excellent financial products and services to consumers, it is one of the largest of its kind in the UK. On offer is a salary of up to £40,000 + benefits, as well as fantastic development and progression opportunities, a supportive and collaborative working environment and a city centre office. This company is unable to provide sponsorship Key Responsibilities of the Commercial Underwriter: Assess and approve complex lending deals in line with risk appetite Approve Commercial Lending applications and Ltd Co. BTL up to personal mandate level Effective underwriting of commercial lending mortgage applications in line with regulatory Analyse and approve new business as well as variations to existing customers, e.g. loan extensions, change to repayment terms, lease consents, partial redemptions, security requests, equity transfers Ideal knowledge and experience for the Commercial Underwriter role: Extensive knowledge of Commercial Lending Experience of making decisions in complex and ambiguous situations Experience of analysing commercial lending transactions to ensure the best outcome for customer and business Understanding of Commercial Lending market, products and customers, including sector specific knowledge Excellent numerical and analytical skills Strong communication skills. 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/Accounts Senior

Chester

£35,000 pa

MERJE is currently working with a top 20 Accountancy Firm who are seeking an experienced Audit/Accounts Senior to join their credible team. With multiple sites based across the globe, my client prides themselves in offering their employees a work life balance and a dynamic and collaborative culture, providing a friendly team-based environment for staff in a city centre-based office. The Certified Audit/Accounts senior will work as a client manager, reporting directly to partners and senior managers. You would be acting for a wide range of clients; particularly in the owner managed business sector and with a variety of size. This role is suited to someone with previous Practice experience and who is either fully ACCA or ACA qualified. Key responsibilities include: Accounts preparation to high standards for your own portfolio of clients Leading audits, controlling each audit, ensuring that they meet agreed budget and timeline Managing the audit team whilst on site to ensure that all work is carried out to a high standard and all queries are resolved with the client satisfactorily where possible Guide and supervise junior members of staff Other ad hoc consultancy assignments for clients Managing client’s day to day needs Previous experience and qualifications: Senior qualified ACA or ACCA All applicants must have substantial accounting and auditing experience in practice commensurate with the role, and good IT skills Good communication skills Ability to foresee issues and find workable solutions Well-organised and able to work to agreed timescales 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 – FX (12 Month FTC)

London

£45,000 - £55,000

Client Our client is a fast growing FX and Payments business and is currently looking to bring in a capable generalist Compliance and AML specialist who can cover for their departing Compliance Manager on a 12-month interim basis. Key Responsibilities As Compliance Manager, you will have responsibility for compliance and anti-money laundering as well as providing oversight of a small team of 2 junior Compliance specialists. The role of Compliance Manager is broad and you will need to have a strong understanding of two sets of regulations and all related guidance and rules, including the JMLSG guidance notes, HMRC Money Laundering Regulation, EMIR, MIFID and MIFID ii. The role will be split with 75% of time spent on AML, KYC and overseeing the firms existing compliance team of 2 analysts with the other 25% spent on other business elements including ad hoc paperwork, reporting and training. You will be involved in some of the below: Client on boarding Client transactions Dealer execution Client appropriateness assessment Compliance monitoring program EMIR reporting Requirements: 4-5 years of AML/Compliance experience – preferably gained in an FX or Payments environment Knowledge of wider compliance processes (e.g. knowledge of Payment Services, MiFID regulations, GDPR or similar). an approachable candidate able to represent the Firm’s compliance team to the business. an ability to take ownership of a process or tasks with limited input (e.g. research projects) Excellent interpersonal and influencing skills. Able to work under pressure and produce results without close supervision. Ability to handle heavy workload under tight timeframes and prioritise appropriately. Good verbal and written presentational skills.

Compliance Monitoring Officer

Birmingham

£30,000 - £35,000 pa

Our client is a Financial Services organisation who are looking to recruit a Compliance Monitoring Officer to help with second Line of Defence assurance reviews as per the Compliance monitoring plan. This will include providing guidance and subject matter expertise to the group in relation to Second Line assurance, supporting key business change and development programmes. Main Accountabilities: Leading operationally independent second line risk based oversight reviews (with minimal supervision): prepare Terms of Reference, conduct monitoring reviews, deliver findings, write and present reports and ensuring that any required remedial activity is effectively implemented to mitigate identified risks. Liaising with and maintaining an effective relationship with internal and external stakeholders. Engaging pro-actively with internal and external stakeholders about the outcome of the compliance oversight activity in order to influence a timely, effective and proportionate response. Contributing to the delivery of timely and effective reporting to committees and forums in relation to oversight activities and any other associated projects. Attending events, seminars, training, regulatory workshops, etc. as deemed necessary. Knowledge & Expertise Essential: CeMAP (or equivalent mortgage qualification) is essential. Compliance monitoring experience and control testing (such as Thematic Reviews and Deep-dive reviews); In-depth knowledge of the regulatory framework governing the mortgage and insurance market with a focus on PRIN, SYSC, SUP, TC, MCOBS, ICOBS. 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 Head of Compliance – Capital Markets

London

£90,000 - £110,000

Our client is a highly reputable Capital Markets business which has seen steady growth in recent years. A new opportunity has come up for a well-rounded Compliance specialist to take on a supporting role alongside the group Head of Compliance in providing regulatory oversight for this part of the business. Key Responsibilities Responsible for Compliance queries arising from the Execution, Research, Sales, Sales Trading and Corporate Advisory teams. Carrying out and overseeing monitoring reviews in line with the Compliance Monitoring Plan. Support the Business in identifying/managing potential and existing risks & Conflicts of Interests in accordance with the firm’s Risk Framework and Conflict of Interest policy. Reviewing and approving Financial Promotions Oversight of the Market Abuse system to identify potential STORs, ensuring the quality of the teams monitoring Managing FCA queries Supporting the business to ensure the business meets its MAR obligations Development and implementation of policies and procedures FCA returns, including Gabriel, Connect and fees. Transaction Reporting monitoring Dealing with general ad-hoc business/compliance issues when they arise Deputising when required and also direct line management of the more junior Compliance members. Requirements: Relevant and broad Compliance experience gained within a Capital Markets business – 6-8 years’ minimum Strong regulatory knowledge and application of relevant rules within a trading environment Excellent interpersonal and influencing skills. Able to work under pressure and produce results without close supervision. Ability to handle heavy workload under tight timeframes and prioritise appropriately. Consider the commercial impact of decisions Good verbal and written presentational skills.

Senior Data & Systems Manager

Chester

£60,000 - £78,000 + Car

MERJE is looking for a Data & Systems expert to join a growing FS company to own, manage and lead the data, software and systems strategies for the business. You will be joining a Financial Services business with a strong history of consumer lending, with a view to devising and implementing a harmonised data approach for the organisation. Salary is banded at £60,000 - £78,000 dependent on experience, plus a car and some working from home flexibility if needed. This is a fantastic opportunity to shape the future success of a business, having a high level of autonomy over decisions relating to data and systems architecture. This company is unable to provide sponsorship Key Responsibilities of the Senior Manager – Data & Systems Architecture: Own, build and maintain an all-encompassing data warehouse, bringing together all data sources for the production of reporting, analysis and MI Develop data strategy for the business Deliver change management frameworks, methodologies and tools Direction of software development team Educating the wider business on software, systems and data methodologies (SAS & SQL) Ideal knowledge and experience for the Senior Manager – Data & Systems Architecture role: Extensive knowledge of database technologies, system architecture & design, ETL methodology, operation of complex database platform, data processing best practice, etc. At least 5 years’ experience in data-driven, technical and change roles within Financial Services Able to communicate complex and technical principals to all audiences Strong SAS and SQL knowledge Background in process automation Able to deliver training and education 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.