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

Compliance Monitoring Manager – Asset Manager

London

£70,000 - £85,000

MERJE are currently representing a large global investment house in the search for a Compliance Monitoring Manager. Our client is highly reputable Asset Manager with a focus on emerging-market equities, multi-asset strategies, absolute return investing and global bonds. The Role: The key objective of the role is to provide assurance that regulatory risk is being adequately managed within the business and the individual will be leading a team of 3 as the Monitoring Manager. You will be responsible for: Supporting the Head of Compliance with regard to delivery of the Compliance Monitoring Plan and day to day supervision of the Compliance Monitoring team. Oversight and tracking the progress of the annual Compliance Monitoring Plan to ensure timely completion Conducting annual Compliance Risk Assessment including the annual risk scoring and planning process Assisting in high level reviews of law and regulation alignment to themes in the corporate monitoring system Quality assurance of thematic and surveillance work completed by analysts Conducting Compliance Monitoring Reviews as needed Requirements: Strong Compliance background, preferably in 2nd line risk based / thematic monitoring Ideally worked in an Asset or Investment Management environment Experience of applying monitoring methodologies / audit methodology within financial organisations Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions Able to build and maintain relationships with key business stakeholders of all levels Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines Able to walk through processes and procedures and detect possible control weaknesses to target testing appropriately

Legal Counsel – Payments / Financial Services

London

£70,000 (FTC) or day rate equivalent

Job Description: Our client offers an intelligent payment platform and accompanying prepaid payment apps to revolutionise the way businesses operate. This is a truly International business operating in many different countries, offering virtual cards, innovation is in their DNA. Established for over 5 years, this business delivers technology to financial organisations and payments innovators to they can create, sell and deliver their own branded payments services. This will be a contract / FTC to cover a maternity leave for 12 months Key responsibilities include: Structure, draft, and review a wide variety of contracts involving the group's businesses including customer, vendor and partner agreements, as well as agreements with financial institution partners Work cross-functionally with the sales, account management, finance, operations, IT and compliance teams to ensure that contractual terms are compliant with company policies and are within legal and regulatory risk tolerances Advise on contract status, legal risks, and legal liabilities associated with different deals Research, anticipate, and guard company against legal risks Serve as an in-house legal expert providing guidance on legislation and regulation impacting the payments industry Maintain knowledge of changes in relevant payment industry laws and industry trends, as well as international compliance with laws and regulations Carry out other duties as assigned The Person Law degree in the UK or equivalent from the EEA 3-5+ year experience, ideally both at a law firm and in-house Must be able to work autonomously Possess sound legal/business judgement, and have a demonstrated ability to find creative solutions to complex problems Payments industry or financial services experience are essential Excellent negotiation and communications skills Able to contribute to a professional work environment by demonstrating integrity, promoting teamwork, and fostering positive communication Analytical ability and strong attention to detail Ability to work in a fast-paced and dynamic environment

Employment Tax Director

London

£90,000

Job Description: MERJE is currently working with a top 20 form based in the centre of London who are seeking an ambitious, experienced, Employment Tax Director to join their exciting and growing team. The main focus of the role will be to deal with employment tax advice and complex compliance for a large portfolio of clients. This is a key role within the team, where you will be highly client facing and be required to deal with clients and other professional advisors. As such, excellent technical skills are crucial; equally crucial will be your ability to impart complex tax technical information to clients and members of other teams. You will also be required to lead a team of more junior staff; mentoring them to develop their professional skills and providing technical training where needed. You will work alongside partners, to provide bespoke tax advice to clients, and also our team of payroll specialists. Key responsibilities include: Advising on all aspects of employment tax including employment status, PAYE obligations, National Insurance contributions, temporary workplace relief etc. Undertaking PAYE health checks and assisting clients with PAYE enquiries from HMRC Advising on completion of P11Ds, PAYE Settlement Agreements and Short Term Business Visitor reporting Dealing with overseas tax queries in conjunction with our international network Review of expatriate self-assessment tax returns and payroll computations Supervision of team’s work and answering their queries Dealing with queries from Partners and managers on a daily basis Providing technical support to the firm’s payroll bureau Understanding of monthly payroll processing Advising on taxation of employee share schemes including submission of in-year notifications and end of year reporting to HMRC Assisting development of new business Previous experience and qualifications: CTA Qualified Employment tax experience Expatriate tax knowledge Share scheme experience Experience of dealing with HMRC Experience of monthly payroll processing Not For Profit exposure Excellent communication skills, both written and verbal Good understanding of personal taxation issues Organised and motivated A driven person who will take ownership of tasks and drive to completion A good team player 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 Manager

Glasgow

+£60,000 + Benefits

This is a newly established role in a growing Risk & Compliance function. Key responsibilities include: Develop appropriate Compliance Monitoring methodologies, procedures and templates. Prepare the annual risk based Compliance Monitoring plan. Undertake monitoring reviews in accordance with the plan, ensuring timely delivery, and preparing clear and concise reports highlighting key findings. Establish collaborative working relationships with line management across the business to ensure the effective conduct of reviews and to discuss findings, agree actions to mitigate or avoid risks outside the Group’s risk appetite. Undertake desk-based monitoring including analysis and assessment of control data across the compliance risk universe, and report on findings, agree mitigating actions, etc. Where appropriate, and as agreed in conjunction with the CRO, provide assistance to the business with ensuring that proposed controls are sufficient to meet risk appetite and legal and regulatory requirements. Undertake special reviews and investigations, as direct by the CRO. Prepare regular reporting for the CRO on progress against the monitoring plan, key findings from reviews and the status of management actions to address findings. The Person: The successful candidate will be a highly experienced compliance monitoring manager with 3 + years of monitoring experience and will need to: Have a strong knowledge and experience of working in the wealth management industry and a good understanding of FCA requirements. Demonstrate the ability to work well on their own with relatively little supervision as well as working as part of the wider R&C team Have excellent report writing skills, including the ability to be clear and concise in distilling and articulating findings from monitoring review 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 Manager

Harrogate

c. £60,000 + Benefits

This is a newly established role in a growing Risk & Compliance function. Key responsibilities include: Develop appropriate Compliance Monitoring methodologies, procedures and templates. Prepare the annual risk based Compliance Monitoring plan. Undertake monitoring reviews in accordance with the plan, ensuring timely delivery, and preparing clear and concise reports highlighting key findings. Establish collaborative working relationships with line management across the business to ensure the effective conduct of reviews and to discuss findings, agree actions to mitigate or avoid risks outside the Group’s risk appetite. Undertake desk-based monitoring including analysis and assessment of control data across the compliance risk universe, and report on findings, agree mitigating actions, etc. Where appropriate, and as agreed in conjunction with the CRO, provide assistance to the business with ensuring that proposed controls are sufficient to meet risk appetite and legal and regulatory requirements. Undertake special reviews and investigations, as direct by the CRO. Prepare regular reporting for the CRO on progress against the monitoring plan, key findings from reviews and the status of management actions to address findings. The Person: The successful candidate will be a highly experienced compliance monitoring manager with 3 + years of monitoring experience and will need to: Have a strong knowledge and experience of working in the wealth management industry and a good understanding of FCA requirements. Demonstrate the ability to work well on their own with relatively little supervision as well as working as part of the wider R&C team Have excellent report writing skills, including the ability to be clear and concise in distilling and articulating findings from monitoring reviews 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 Manager

Chester

c. £60,000 + Benefits

This is a newly established role in a growing Risk & Compliance function. Key responsibilities include: Develop appropriate Compliance Monitoring methodologies, procedures and templates. Prepare the annual risk based Compliance Monitoring plan. Undertake monitoring reviews in accordance with the plan, ensuring timely delivery, and preparing clear and concise reports highlighting key findings. Establish collaborative working relationships with line management across the business to ensure the effective conduct of reviews and to discuss findings, agree actions to mitigate or avoid risks outside the Group’s risk appetite. Undertake desk-based monitoring including analysis and assessment of control data across the compliance risk universe, and report on findings, agree mitigating actions, etc. Where appropriate, and as agreed in conjunction with the CRO, provide assistance to the business with ensuring that proposed controls are sufficient to meet risk appetite and legal and regulatory requirements. Undertake special reviews and investigations, as direct by the CRO. Prepare regular reporting for the CRO on progress against the monitoring plan, key findings from reviews and the status of management actions to address findings. The Person: The successful candidate will be a highly experienced compliance monitoring manager with 3 + years of monitoring experience and will need to: Have a strong knowledge and experience of working in the wealth management industry and a good understanding of FCA requirements. Demonstrate the ability to work well on their own with relatively little supervision as well as working as part of the wider R&C team Have excellent report writing skills, including the ability to be clear and concise in distilling and articulating findings from monitoring reviews

Compliance Monitoring Manager

Birmingham

c.£60,000 + Benefits

This is a newly established role in a growing Risk & Compliance function. Key responsibilities include: Develop appropriate Compliance Monitoring methodologies, procedures and templates. Prepare the annual risk based Compliance Monitoring plan. Undertake monitoring reviews in accordance with the plan, ensuring timely delivery, and preparing clear and concise reports highlighting key findings. Establish collaborative working relationships with line management across the business to ensure the effective conduct of reviews and to discuss findings, agree actions to mitigate or avoid risks outside the Group’s risk appetite. Undertake desk-based monitoring including analysis and assessment of control data across the compliance risk universe, and report on findings, agree mitigating actions, etc. Where appropriate, and as agreed in conjunction with the CRO, provide assistance to the business with ensuring that proposed controls are sufficient to meet risk appetite and legal and regulatory requirements. Undertake special reviews and investigations, as direct by the CRO. Prepare regular reporting for the CRO on progress against the monitoring plan, key findings from reviews and the status of management actions to address findings. The Person: The successful candidate will be a highly experienced compliance monitoring manager with 3 + years of monitoring experience and will need to: Have a strong knowledge and experience of working in the wealth management industry and a good understanding of FCA requirements. Demonstrate the ability to work well on their own with relatively little supervision as well as working as part of the wider R&C team Have excellent report writing skills, including the ability to be clear and concise in distilling and articulating findings from monitoring reviews 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.

Credit Risk Manager

London

Up to £65,000

An established, data-driven lending business with strong expertise in its sector and an innovative, open-minded approach to making lending decisions. Now looking for a Credit Risk expert to join the team, reporting to the Head of Credit Risk and supporting with 2LOD activities. This company is unable to provide sponsorship Key Responsibilities of the Credit Risk Manager: Own the development, maintenance and management of models to optimise customer acquisition/lending/collections/etc. Design and define strategies across marketing, credit, fraud, to support growth plans Use data driven analysis to monitor and provide insight into performance, using this to provide clear recommendations and opportunities Engage with stakeholders Provide leadership and analytical support across the business Ideal knowledge and experience for the Credit Risk Manager role: Strong numerical and analytical background Experience in a similar role in consumer / retail risk, including model building and/or strategy development experience and understanding of related regulations Strong technical skills with SQL, SAS, R, Excel, etc. Excellent communication and relationship management 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.

Credit Risk Manager

Nottinghamshire

Competitive

An established, data-driven lending business with strong expertise in its sector and an innovative, open-minded approach to making lending decisions. Now looking for a Credit Risk expert to join the team, reporting to the Head of Credit Risk and supporting with 2LOD activities. This company is unable to provide sponsorship Key Responsibilities of the Credit Risk Manager: Own the development, maintenance and management of models to optimise customer acquisition/lending/collections/etc. Design and define strategies across marketing, credit, fraud, to support growth plans Use data driven analysis to monitor and provide insight into performance, using this to provide clear recommendations and opportunities Engage with stakeholders Provide leadership and analytical support across the business Ideal knowledge and experience for the Credit Risk Manager role: Strong numerical and analytical background Experience in a similar role in consumer / retail risk, including model building and/or strategy development experience and understanding of related regulations Strong technical skills with SQL, SAS, R, Excel, etc. Excellent communication and relationship management 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.

Financial Promotions Officer

Gloucestershire

£35,000 - £40,000 + 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 Monitoring Manager

Manchester

£66,000 plus benefits

To support the Chief Risk Officer and Group Head of Compliance with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary. The role will involve: Maintain and deliver effective 2nd Line compliance monitoring framework on a regional basis, in line with company expectations. Provide compliance support to advisers and firms, including liaising with 1st line colleagues to secure positive outcomes Carry out remedial training and oversight with advisers and firms to deliver company compliance protocols Provide support to the Group Head of Compliance in maintaining and delivering Group compliance policies and assist with change management Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority. Contribute to the content and maintenance of the Business Practices Manual. Review client files as directed by the Group Head of Compliance and provide feedback to advisers in line with the firm’s procedures. To support the Group Head of Compliance to organise and plan a programme of supervision for Financial Advisers, focusing on individual and business risk this is in line with the firms T&C Scheme Manual and the requirements of the FCA. Key Requirements: Diploma Level 4 3 years financial services industry experience, of which you can demonstrate key working examples of key tasks Previous experience of working within a field based environment Location: Flexible Location - Manchester, Birmingham, Leeds, Newcastle, Glasgow

Senior Compliance Officer

Derbyshire

c. £45,000 + Excellent benefits

Our client is a well-known Financial Services business that specialises in pensions. A new Risk & Compliance function is being created and an excellent opportunity has arisen to join the business in the role of a Senior Compliance Officer. You will support the Head of Risk & Compliance on all aspects of Compliance across the firm and play an important role in the development of the function, bringing fresh thinking, best practice and appropriate challenge, contributing to the growth and future success of the organisation. Key responsibilities include: Work with the Head of Risk and Compliance to develop the risk management framework, ensuring that it remains up to date and aligned to strategic objectives Respond to actual and potential Compliance events Create a risk monitoring plan and conduct the monitoring and process controls Produce management information to a high standard by the required timeframe for submission to the relevant Committee Working with all business areas to develop and maintain policy and documentation relating to Compliance Responsible for ensuring that all work is carried out to a high standard and completed in a timely manner Oversee that all Compliance related policies are reviewed and approved on at least an annual basis Keep own knowledge up to date on legal and regulatory changes and support any relevant training initiatives Working with the Legal and Regulatory Change group to ensure that all regulatory and statutory requirements are implemented in Member Services Provide pro-active challenge and opinion to proposed projects and business activities As part of the Risk and Compliance team, act as a central point of reference, deal with complex cases and provide advice on regulatory compliance matter Provide support to induction and other training including supporting new or updated corporate/internal policies The Person: Proven ability of understanding compliance and risk requirements Experience within an FCA regulated environment (Pensions knowledge would be an advantage) Strong analytical skills Able to produce output to high standard within a specific timeframe Experience of producing and delivering MI to senior management Ability to use own initiative and consider the wider implications Excellent verbal and written communication/interpersonal skills, administration skills and organisation/planning skills 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.

Business Continuity Manager

York

£60,000 + Benefits

Business Continuity Manager Our client is a well-known Financial Services company who are currently looking to recruit a Business Continuity. You will be responsible for Implementing and maintaining the Business Continuity Management framework, ensuring that the appropriate tools are in place and that all participants are aware of their obligations relating to Business Continuity Management. Key responsibilities include: Ensuring comprehensive Business Continuity Plans, Process and Procedures are in place, based on the requirements of the Business Continuity Framework and Policy and considering regulatory and contractual requirements Facilitating an annual refresh of the Business Impact Analysis (BIA) across the business and analysing this information to ensure that recovery plans are adequate Liaising with the IT teams to ensure Disaster Recovery and Business Continuity plans take account of Information security requirements Coordinate the business’ Corporate Business Continuity and DR testing Lead the business’ engagement and participation in the infrastructure provider’s annual business crisis scenario testing Implement, embed and maintain crisis management processes, including communications cascades Develop and implement the controls and processes necessary to support the monitoring and analysis of supplier performance The Person: A proactive approach with the ability to generate new ideas Ability to manage workload with competing priorities and frequent interruptions that require urgent attention Ability to analyse the root causes of issues, quickly understand, interpret and clearly explain complex matters Qualifications/Key Skills: Degree in relevant discipline Industry certification and experience (CBCP certification or similar desirable, ISO 22301, etc.) Business Continuity coverage experience in a Financial Services, Technology or Service Provider industry Solid foundation in Operational Risk Management with exposure to Operational Assurance, Business Continuity and Supplier Management General awareness of Business Continuity and Supplier Management standards Developed interpersonal and collaborative skills with the ability to communicate risk focused Business Continuity and Supplier Management related concepts to both technical and non-technical audiences Excellent interpersonal skills to deal with challenging situations and relationships with key stakeholders 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 Manager

Chester

c. £50,000 + Benefits

Our client is a well-known Financial Services business who are looking to recruit a Compliance. In this role you will support the Head of Compliance working to ensure that the firm meets it regulatory obligations. Key responsibilities include: Undertaking a series of routine and thematic reviews as defined within the compliance monitoring programme. Provide support and technical expertise across unsecured loans, credit cards and savings products to robustly manage regulatory, conduct and financial crime risks. Supporting the Head of Compliance with the preparation of governance committee and Board papers. Supporting with the delivery of mandatory compliance training including financial crime training courses. Monitoring regulatory developments, identifying those that may impact the firm and tracking the implementation of key changes. Supporting with the implementation of a financial crime programme to monitor and mitigate against financial crimes and ensure compliance with relevant regulations. Representing compliance at project meetings. Essential skills and experience Experience of working in a Compliance function preferably in an unsecured lending environment. Good technical regulatory knowledge across the various FCA rule books particularly CONC, BCOBS and SYSC. Experience of representing Compliance within projects. Good oral and written communication, facilitation skills and ability to present information in a concise and coherent manner. Ability to engage with stakeholders and develop effective working relationships across all levels.

Compliance Monitoring Manager - IFA/Wealth Management

Gloucestershire

£40,000 + benefits

Working for this successful IFA practice with a UK wide presence, the main purpose of the role is todeliver second line of defence compliance monitoring, in line with the business strategy and day to day operations of the Group. Key responsibilities include: Support the Head of Compliance in developing the Compliance Assurance Plan setting out an appropriate programme of risk based compliance assurance activities Deliver all required aspects of the Compliance Assurance Plan on time and to a high standard Monitoring activities to include all regulatory regulations applicable to the Group – in particular assessing suitability of advice, corporate policy, third party administrators and training & competence Monitor, review and follow-up the implementation of compliance recommendations agreed with management Assist in the provision of compliance training Carry out thematic monitoring and investigations as required Assist with developing, maintaining and implementing an effective risk management framework across the Group, in line with regulatory requirements The Person: A demonstrable understanding of the relevant risk, compliance and regulatory considerations in the UK Wealth Management market Detailed regulatory knowledge in particular, PRIN, SYSC, SUP, COBS Experience of a compliance assurance environment within financial services Strong communication skills to influence management in the organisation and be able to present clear and comprehensive documentation 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