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

Compliance Monitoring Assistant Manager

Leeds

c. £45,000 + Excellent Benefits

Our client is a well-respected Wealth Management business who offer a broad range of products to their customer. An excellent opportunity has arisen to join the business in the role of Assistant Compliance Monitoring Manager where you will support the timely completion of the compliance monitoring plan and to undertake T&C activities for the Front office. You will also need to assist the Compliance Monitoring Manager and Director of Regulation in meeting the firm’s business objectives Key responsibilities include: Contribute to discussions with Director of Regulation and Monitoring Manager in order to meet the rules of the Financial Services and Market Act and to monitor relationships with internal colleagues to ensure implementation of the compliance strategy across the claims division Supervise and monitor business risks in accordance with regulatory requirements and internal procedures, both desk and field based. Complete personal tasks in accordance with the Monitoring Plan as directed Review and monitor work relating to specific monitoring issues, including suitability, branch procedures, and XO services. Implement proficient communication strategies across claims and core business departments to provide day-to-day support to ensure compliance with Group Standards Responsible for the ongoing development of branch standards and to specifically take the lead in training branches for remedial work and ensuring improvement in standards for branches with unacceptable assessments. Provide regular reporting to keep the Corporate Services Director, Claims Board, Senior Management Team and Heads of Business informed of compliance risks Assess and sign off new entrants in stage 2 by monitoring calls and conducting face to face role play interviews Represent compliance during the client audit process including on-site attendance, the provision of relevant information and the ownership of any compliance related actions Report any risks which may be detrimental to clients or to the firm’s reputation, which arise from inadequate procedures, systems or data handling Ensure compliance with FCA requirements, the Branch Manual, Code of Conduct policies and T&C framework Essential: Sound knowledge of FCA regulations, having passed an appropriate qualification for the role Second line monitoring experience CISI Level 4 Investment Advice Diploma or equivalent Time management skills, good analytical skills Organisational and project management skills People management 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.

Head of Compliance

Manchester

£70,000 + Bonus + Benefits

I am working with a really exciting new business who are at the start of their journey and are looking for a Head of Compliance to build on the Compliance culture across the business. Key responsibilities include: Manage the relationship between the business and the Regulators including; FCA, ICO, HMRC and any others as applicable. This includes applying for permission, providing MI (specifically GABRIEL reporting) and managing correspondence. Be approved as Money Laundering Reporting Officer and provide training to ensure team are aware of responsibilities. Create and undertake the Compliance Monitoring Plan Maintain records of risks, breaches, issues and report on trends Produce and maintain all business policies, and ensure they are all implemented throughout the business Conduct due diligence on third parties, including reviewing and agreeing to all agreements and contracts Ensure all financial promotions are compliant and adequately recorded, including social posts, OOH, blogs and videos Ensure all relevant staff have training, both at induction and annually, at minimum, on: data protection, complaints, financial crime, treating customers fairly, whistleblowing and other regulatory areas Ensure all approved persons are fit and proper Own the Training and Competence process for the business, including ensuring all records are maintained, SPSs are up-to-date and non-advising staff are competent for the role they undertake Ensure the business maintains professional indemnity insurance Work with the business on all projects, both current and upcoming, to ensure the plans are compliant and treat customers fairly Ensure all areas of the business are acting legally, including recruitment, employee management, insurance, finance, etc. The Person: Minimum Level 4 qualified and ideally working towards Chartered status Strong background in Compliance, especially in the Wealth Management space Ability to work at a fast pace and be self-motivated 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.

Head of Financial Crime Investigations

London

£85,000 - £95,000

Head of Financial Crime Investigations required for a leading Corporate Investment Bank based in London. Head of Financial Crime Investigations is required to provide investigative oversight of the SARs process and framework, including considering internal SARs submitted within the UK and by the Group and providing SAR training and awareness to bank Employees. As Head of Financial Crime Investigations, you will be required to manage a team of investigators, ensuring high quality of technical work and report production as well as the personal and professional development of team members, and providing direction and technical input. This Head of Financial Crime Investigations will represent the bank at external committees including, and in conjunction with Intelligence colleagues, participation at JMLIT and Wholesale Bank Forums. You will require detailed knowledge of: Proceeds of Crime Act 2002 Terrorism Act 2000 Fraud Act 2006 Money Laundering, Terrorist Financing and Transfer of Funds Regulations 2017 Key skills / experience required: Managing a team Corporate / Investment Banking background Excellent written and oral communication skills The employer has an excellent compliance / financial crime culture descending from senior management, a positive reputation for work-life balance, high bonuses and an extremely competitive benefits package. There will also be the ability to work from home occasionally. If you are interested in this opportunity and would like to apply or would like further information, please submit your CV. Please note, should feedback not be received within 28 days, due to the large volume of applications, unfortunately, your application has been unsuccessful. However, I may be in touch with similar relevant opportunities in the future.

Business Analyst

Manchester

£30,000 - £35,000

Job Description: My client is looking for a Business Analyst to contribute to the effective delivery of the FS change portfolio, continuous improvement and governance activities, developing and implementing effective business readiness plans in conjunction with FS, IT and Change colleagues. Responsibilities Supporting the production of business cases Gathering, creating and documenting agreed business requirements, process mapping and documenting policies, processes and procedures for FS change. Identifying and documenting the business change impacts to inform Business Readiness Plans. Supporting, developing and implementing effective business readiness planning, working collaboratively with FS and Change colleagues, ensuring the successful delivery FS Changes Supporting Business Acceptance testing activities, ensuring the delivered solution meets the agreed business requirements. Experience, skills & knowledge Experienced Business Analyst with a proven and demonstrable track record, experience of working in the Retail or Financial Services sector Experience of working with one or more change methodologies and practices. Extensive working knowledge of MS Office Suite – Word; Excel; PowerPoint; Visio; MS Project; Outlook Ability to deliver in a fast-paced environment and deliver simultaneous change/improvement projects and activities Proven track record in effective facilitation and communication at multiple levels Ability to engage and influence stakeholders at an appropriate level Is analytical, pragmatic and systematic in approach to problem solving Ability to manage conflict and knows when to escalate Able to bring a relevant and effective analytical ‘toolset’ and experience to SRL Ability to analyse requirements and processes and provide solutions, structure and gap analyses in relation to change deliverables Self-motivated with the ability to work individually and as part of a wider team when required

Compliance Officer – Sales & Trading

London

£65,000 - £70,000

Client Our client is a full service retail and institutional brokerage and Investment Banking firm with a strong global presence and due to some recent structural changes they are actively looking to recruit a Compliance Advisor within their London office. You will be a Trade Floor Compliance specialist providing advice to front office sales and trading staff within the cash equities, fixed income and convertible bonds businesses, with a particular focus to lead the firms public side Market Abuse activities. Key Responsibilities Providing accurate and timely advice to sales and trading staff covering cash equities, fixed income and convertible bonds. Assisting with matters relating to regulatory and exchange bodies i.e. FCA, LSE & Takeover Panel. Daily attendance of Equity and Fixed Income business morning meetings to ensure all relevant standards are maintained Development and execution of the firms MAR monitoring programme. Compliance oversight of trade and transaction reporting. Identification and tracking of regulatory changes which impact the sales and trading business. Lead and deliver Compliance oversight of Best Execution including the production of meaningful MI and Execution Oversight Committee papers. Execution of periodic desk reviews across the equity, fixed income and convertible bonds businesses. Support in the maintenance / development of the firm’s compliance policies and procedures. Requirements: 2-3 years’ experience in a Compliance role with exposure to sales and trading activity. Working knowledge of MAR, COBS, SSR & DTR Prior experience of MAR surveillance activity 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 Consultant

Chester

£ Negotiable

Key responsibilities: Defining policy and ensuring robust implementation through a comprehensive compliance monitoring programme. Provide critical support and technical expertise across unsecured loans, credit cards and savings products to robustly manage all regulatory, conduct and financial crime risks across the business. Take a leading role in the formulation of applicable policies and procedures. Developing and implementing a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks. Undertake an annual compliance and financial crime risk assessments. Manage the development and delivery of mandatory compliance training including financial crime training courses. Monitoring regulatory developments and react to those that may impact the firm Implementation of a financial crime programme to monitor and mitigate against financial crimes and ensure compliance with relevant regulations. Representing compliance at the governance committees and Board meetings in the absence of the Head of Compliance. Essential skills and experience: Demonstrable track record operating in a senior Compliance role ideally with experience of Unsecured Loans, Savings and Credit cards Strong technical regulatory knowledge across the various FCA rule books particularly CONC, BCOBS and SYSC and financial crime regulations Strong stakeholder management experience Ability to face off to Regulators Strong oral and written communication, facilitation skills and ability to present key information in a concise and coherent manner.

Head of Customer Operations

Bristol

£85,000 - £90,000

Job Description: MERJE are delighted to be representing one of the most prestigious and envious brands within their market. While they continue to push the envelope on customer journey and service expectations they are looking to bring in a new Head of Operations to oversee and ensure that they CX across these rapidly growing business is measured, executed and developed to perfection. Key responsibilities include: Currently working across a 400 FTE (which is and will expand) you will be responsible for all internal operational customer touch points insuring that the future proofing of the business is wrapped up in its promises to deliver unparalleled customer experience through all points and divisions of contact. Sales, Service, Maintenance, Complaints, Retentions, Collections, and so on and so. You will have autonomy over the ongoing structural development of the teams, professional development, staff engagement, mentoring and leadership programmes: You will tap into all major stakeholders to put together an entire picture of VoC, NPS, SLA and other important and measurable factors. Using this data to drive your designs in change and improvement. Previous experience and qualifications: To be successful you must be able to articulate and evidence your experience and achievements at a similar level within the contact centre world. It would be advantageous for you to be able to discuss your direct impact on Operational customer outcomes. A background in a regulated or specifically Utility lead market would be highly desirable too. Please get in touch for immediate conversations and interview

Management Accountant

Manchester

Up to £35,000 pa

My client is a highly entrepreneurial organisation operating within the Tech sector is actively searching a talented Management Accountant to support with the growth of the business. Reporting to the Head of Finance the role will provide support directly to the CEO across a number of companies. The role will encompass forecasting, cash management, internal monthly reporting and business partnering with key divisional management. Being a ‘hands-on’ role you will be responsible for all traditional month-end processes including balance sheet reconciliations, capital expenditure tracking and reporting and P&L analytics and commentary. You will be tasked with building relationships with clients and suppliers, experience a wide variety of tasks and challenges, and help support the fast-growing business within a dynamic and exciting team. Being either part or newly qualified with a minimum of 2 years’ relevant experience, most importantly you will be commercially focussed with a can do approach, looking for the opportunity to develop and step up to bigger and greater challenges. 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 Analyst

Manchester

Up to £45,000

MERJE is looking for an experienced Credit Risk Analyst to join a modern FS company and conduct analytics using R and Python, supporting business growth. You will be joining an exciting Financial Services business with offices in central Manchester. On offer is a salary of up to £45,000 as well as a fantastic opportunity to join a dynamic, fast-paced organisation with plenty of projects to get involved in. This company is unable to provide sponsorship Key Responsibilities of the Credit Risk Analyst: Overall, ensure the business is operating within risk appetite, inform business strategy and support the development of Credit Risk metrics Maintain and enhance credit risk analysis and reporting Analysing credit risk performance Produce Management Information Deliver credit risk reporting Ideal knowledge and experience for the Credit Risk Analyst role: Experience in a similar role – an understanding of Credit Risk management, credit scoring, the customer lifecycle, etc. Good technical skills with R, Python and Excel Analytical and problem-solving approach Excellent communication skills Driven and ambitious – desire and ability to work in a fast-paced environment in a growing 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.

Head of Compliance - Mortgages

Hampshire

£70,000 - £75,000

The Client- Mortgages business and loan services This Client does not provide sponsorship. The role- Manage, develop and lead a high calibre second line compliance function Identify upcoming changes in regulation and how these may impact the business – making any changes to current processes and policies as required Ensure that the compliance manual and associated procedures for Compliance are reviewed and updated annually Manage regulatory reporting requirements Oversee the adequacy of regulatory compliance training programmes and co-coordinating staff training where required Ensure compliance monitoring plans provide effective assurance over identified risk areas Work closely with the Head of Risk to ensure there are no potential weaknesses in the control framework Perform the role of Data Protection Officer Liaise closely with Internal Audit to align the scope of assurance activity to be undertaken Lead team meetings to contribute to the wider Risk & Compliance function Deputise for the Head of Risk & Compliance where required including in respect of investigating potential breaches of the conduct rules and liaising regulatory bodies Key Requirements- Broad experience gained from working within a regulated mortgage environment Solid understanding of MCOB, CONC, Data Protection and money laundering regulations Excellent people management skills with the ability to inspire a high performing team Senior Stakeholder management skills Experience of operating at a senior level in a compliance team This is a newly created role to support further growth and development in the business. This person will be a key hire to be responsible for maintaining an effective second line compliance function across two regulated mortgage businesses.

Customer Claims Handler

Milton Keynes

£28,000 - £32,000

Our client is looking for someone that can support and shape the business and generate initiatives that lead them forward in a rapidly changing technological and digital space, to outperform competitors and provide world class customer service. This is an exciting opportunity to join the Claims Validation Team. Key responsibilities include: Manage your own caseload of suspected fraudulent claims Conduct desktop enquiries including database searches Arrange further investigation to achieve cost efficient conclusion and minimal financial loss to the company Maintain excellent customer service standards. The Person: Positive attitude and professionalism Influential and friendly with the ability to speak confidently and liaise with a wide range of people High levels of resilience, perseverance, self-belief and motivation Qualifications/Key Skills: End to end motor claims and personal injury experience is essential Motor insurance fraud experience would be an advantage Good level of competency in Maths and English Understanding of a compliant and target driven environment 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.

Senior Financial Accountant

London

c£70,000 pa

My client is a rapidly expanding FinTech organisation based in central London, with demonstrable growth and exciting plans ahead they are actively recruiting a talented individual to support them in their Finance Function. This is a great opportunity to join a small team offering the opportunity to move into a management role in the medium term. Working with the head of Finance in a fast paced environment key responsibilities include: • Management and administration of the SPVs within the Group – including testing all covenants • Reconciliation of cash ownership and collections, and instructing the movement of funds between the organisation and the SPVs appropriately • Balance Sheet reconciliations • Liaising with the cash manager, loan agent, investors and other third parties to ensure reporting and payment deadlines are met without fail • Cashflow forecasting of the SPVs and Companies and working with other teams to model the future profile of assets • Develop and iterate financial models for the SPVs and other operational requirements • Production of month end accounts for each of the SPVs and other insightful financial analysis • Facilitating the annual statutory audit by overseeing preparation of schedules and liaising with auditors • Developing processes to ensure an efficient use of funds and managed risk within the SPVs Being a qualified Accountant with 3 years plus PQE you will have demonstrable exposure to securitisation and restructuring, additionally you will have a good knowledge of Financial Services and SPV accounting. 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 Crime Officer

London

£60,000 - £70,000

Job Description: Financial Crime Officer required for a commercial real estate services and investment firm based in London. As Financial Crime Officer you will be responsible for managing the allocation, prioritization and closure of all ad-hoc Financial Crime related questions within the Financial Crime Team as received via Financial Crime inbox. You will also be the main contact between the Financial Crime Team and the Client On-boarding Team. Your role as Financial Crime Officer will involve monitoring all incoming enquires of High Risk client escalations including PEPs; Major Sanctioned Country questions and any other ad-hoc Financial Crime related questions. A large and important part of this Financial Crime Officer role is the allocation for enquires within the Financial Crime Team. You need to ensure that that all inbox enquiries are dealt with/answered in a prompt and efficient manner. You will require a deep and detailed understanding of KYC/CDD and the ability to work closely with the business. Key requirements: Provide advice and support to the Business in terms of the application of all KYC requirements Help support and manage processes for on-boarding high risk clients Assist in the collection and production of Financial Crime reports and MI Ensure the correct and complete screening of transactions, customers and suppliers Investigate and manage positive hits on PEPs, sanctions screening alerts and adverse news checks The commercial real estate and investment firm are a leader in their field and have a medium sized team of highly professional and experienced Financial Crime Officers. They have a great culture, excellent work life balance and good staff retention rates. If you are interested in this opportunity and would like to apply or would like further information, please call Pritesh Chudasama at the London Office for a confidential conversation. Please note, should feedback not be received within 28 days, due to the large volume of applications, unfortunately your application has been unsuccessful. However, I may be in touch with similar relevant opportunities in the future.

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 Manager

Birmingham

£50,000 - £55,000 + Benefits

Support the Compliance Director in the provision of high quality advice to the business on regulatory and compliance matters and in the ongoing development and enhancement of the company’s compliance and regulatory risk management arrangements. Key responsibilities include: Developing and implementing group and company policies to meet legal, regulatory and business requirements. Providing clear, accurate and timely advice on regulatory matters, including the application of relevant requirements in the FCA Handbook. Reviewing business operations and procedures to ensure that they remain compliant with policies and procedures and relevant regulatory requirements. Monitoring regulatory developments and advising on their relevance and implications for the company and any actions needed to prepare for compliance. Drafting compliance policies and procedures, seeking input from stakeholder and educating end-users on new requirements. Prepare and deliver high quality training to staff on regulatory matters Undertaking compliance reviews or investigations and working with the relevant business area to ensure that appropriate remedial actions are identified and implemented. Accurate and timely completion of regulatory returns and forms and submitting these via FCA Connect and GABRIEL. Review of financial promotions Undertaking regulatory due diligence for potential acquisitions and reporting on findings Compiling data in response to FCA or other information requests. Representing Compliance in business projects and assisting with regulatory change projects as directed. The Person: Strong knowledge of the UK regulatory framework and the FCA Handbook Understanding of wealth management including the advice process and products 5 yrs or more in a financial services environment, preferably wealth management