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With many years’ expertise recruiting in this area, we work closely with some of the UK’s leading financial services institutions and organisations to find compliance and regulatory experts for permanent and interim positions.
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One of the UK's leading independent recruiters in
Compliance and Regulatory jobs
In the world of business today, many organisations find themselves operating in highly regulated industries, in which increasingly complex rules and regulations are clearly defined to ensure correct practice is adhered to. Failure to meet these standards from a compliance perspective can have significant financial and reputational repercussions. In light of this, MERJE understands that our clients strive to attract the highest calibre of compliance professionals to ensure their businesses remain at the forefront of the ever-changing regulatory landscape.
Our highly experienced Compliance team has a wealth of experience recruiting within Banking, Financial Services and a number of other regulated industries. If you are looking to further develop your career in Compliance then our dedicated team of consultants based in London and Manchester are able to discuss your requirements and work with you to achieve your career aspirations.
We recruit Permanent and Contract opportunities across the UK and cover areas such as Compliance, Regulatory Risk, Policy, Monitoring, Advice & Guidance, Training & Competency, Financial Promotions and Data Protection.
Our sector expertise includes:
Job titles include Head of Compliance, Regulatory Risk Manager, Compliance Monitoring Manager, Compliance Policy Manager, T&C Supervisor and Data Protection Specialist.
MERJE was founded in
Our Management Team each have over
years' recruitment experience within their specialist markets
of permanent placements had a
salary of £40,000 and over
Contract and Interim roles comprise of
of our placements
Director - Compliance & AML
Director - Compliance & Risk Management
Senior Consultant - Compliance & Risk
Principal Consultant - Compliance & Risk
Senior Consultant - Financial Crime & Regulatory Compliance
Junior Resourcer - Financial Crime & Fraud, Risk Management and Compliance
1 day ago
Head of Operational Assurance
£80,000 - £100,000 + Excellent Benefits
Our client is a well-known Financial Services company who are currently looking to recruit a Head of Operational Assurance. In this role you will provide strategic support, direction and guidance to the Chief Executive Officer on all Operational Assurance and Resilience matters. This represents a rare and exciting opportunity to undertake a senior and influential role where you can really make an impact. Key responsibilities include: Provide strategic support, direction and guidance to the COO and Chief Executive Officer on all Operational Assurance and Resilience matters Responsible for the management and development of all First Line Operational Assurance activities Deliver compliance with a newly formed function with the Bank of England’s new Operational Resilience regime Act on behalf for the COO on all Operational Assurance matters, liaising with the Board, Senior Management Team and Regulators as required with generally accepted principles of compliance and supporting the strategic operating requirements of the division Produce clear and concise reports for Senior Management and the Board The Person: Strategic thinker with ability to navigate highly complex matters Robust and resilient and able to operate in a high pressure and fast-moving environment Excellent interpersonal and communication abilities to deal with challenging situations and relationships with key stakeholders A self-starter who focuses on generating opportunities and outcomes A positive outlook with an ability to inspire confidence, provide vision and motivate people Qualifications/Key Skills: Extensive experience of Operational Risk Management Extensive experience of managing Operational Assurance multi-function teams Experience and understanding of Business Continuity standards and principles Excellent stakeholder management skills, including engagement with the Board, Senior Management and Regulators Strong and proven line 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.
1 day ago
Financial Crime Manager
£70,000 - £75,000
Financial Crime Manager professional required for an innovative and dynamic Corporate Bank based in London As a Financial Crime Manager, part of the second line Financial Crime Advisory team, you will focus on: Creating, developing and implementing Financial Crime Policies & Procedures in line with the Financial Crime Risk Assessment Framework Assisting with the day to day management of the team Work closely with senior stakeholders across the organisation on various Financial Crime related queries Advising the business on Financial Crime related matters, specifically, new product approvals Work closely with the new product team to advise them on the Financial Crime risk associated with the product/client base Financial Crime Manager requirements: Current or recent second line of defence experience within Financial Crime An understanding of Fintech businesses and the Financial Crime risks presented when conducting business with them Understanding of key Financial Crime regulations/industry knowledge such as 5th Money Laundering Directive and JMLSG Excellent communication skills Stakeholder management skills Corporate or Wholesale Banking experience.
5 days ago
Head of Compliance (Exclusive appointment)
to £65,000 + bonus + ben
Head of Compliance (Exclusive appointment) The Client- With operations in UK and Europe, my client is a fast-paced and ambitious business which is long established and a leader in its chosen field. The role- Reporting directly to the Group CEO, this high profile role is critical to the future success of the business. With Regulatory oversight of their products being passed across to the Financial Conduct Authority, this is a very exciting time for a new Compliance Head to join the group to drive change in the organisation to prepare for the new regulatory environment, enhance the customer experience and also support expansion into new products and channels. The successful candidate will join a senior management team that supports and sponsors a strong compliance culture. You will be responsible for all aspects of sales and business compliance and will work closely with senior management to ensure creation, implementation and monitoring of robust policies and procedures. Key responsibilities During the consultation period with the FCA, build relationships and act as the interface to provide industry and company level expertise. After regulation maintain relationships and providing notifications, routine reports changes to permissions and responses to ad-hoc enquiries As they move to FCA regulation, interpret regulations and develop appropriate policies, frameworks and controls for all areas of the business. Provide technical advice and guidance to directors, senior management and all business areas, covering all elements of the FCA Handbook Routinely review compliance operations and procedures to ensure these are efficient, customer focused and fit for purpose Monitor, regularly review and if necessary, update sales force compliance framework and controls for direct sales, third party distribution partners and telesales. Manage and regularly review business compliance policies, frameworks and controls, including PCI/DSS, data protection, TPS and direct marketing and anti-bribery compliance Manage sign-off for customer communication and collateral Own complaints monitoring, reporting and controls Manage the QA monitoring and reporting across the business to drive improvements and ensure expected standards are met Create and embed a culture of learning and feedback to ensure continuous improvement and support improvements in customer experience and business growth. Own and manage Group risk register and manage the risk management framework and controls across the business (UK and Europe) Keep up to date with all aspects of compliance and risk relating to the industry they operate in and relevant business compliance Ensure the provision of good quality Management Information and reporting to the Senior Management Team and Board together with recommended solutions for issues identified Manage a team of 3 Participate as a member of the Senior Management Team Key Requirements- Significant and recent experience of working in a senior compliance role in an FCA regulated environment (ideally insurance related). Past success in implementing and/or managing compliance in a direct salesforce and/or third party salesforce Self-starter, hands on and highly motivated individual. Ability to see big picture and also delve into the detail. Excellent communication skills and the ability to influence key stakeholders. Strong teamwork with constructive challenge and contribution Proven track record of delivering operational change and improving standards Capable of interpreting and delivering operational and strategic advice on regulatory developments processes and standards Will suit an individual who enjoys ‘making a difference’ and is tenacious in knocking down barriers to achieving success Salary is commensurate with experience but will reflect the significance of the role. The role will also benefit from the potential of a bonus arrangement. MERJE have been appointed exclusively on the role and any CVS sent direct to the client will be forwarded through to MERJE for consideration. 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.
6 days ago
Senior Compliance Officer
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.
7 days ago
Business Continuity Manager
£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.
8 days ago
IT Governance Manager (FTC for 12 Months)
to £65,000 + benefits
I am currently working on behalf of a very progressive and entrepreneurially led Insurance group who are looking for an individual to be responsible for the implementation of a proportionate, risk based IT governance framework across the group in order to successfully reduce risk, in line with appropriate risk parameters agreed with business. Reporting to the Head of Information Security & IT Governance, they are initially recruiting this role on a fixed term contract for 12 months but with a realistic potential that the role will become permanent. Key responsibilities include: Develop, construct and implement an IT Governance framework to work closely across the Group to improve overall maturity in respective disciplines. As required act as a subject matter expert utilising external specialists as required. In line with Business Strategy develop and continuously maintain a strategic outlook across the Group, including risk management approaches, frameworks and technologies. Develop and maintain an appropriate IT Governance framework, including relevant documentation. Be responsible for and oversee PCI-DSS compliance across the business. Collaborate with the organization's IT leaders, InfoSec, DPO, HR, and Risk to ensure full legal compliance of company's privacy and data protection policies, procedures and notices. Serves as the SME for best practice in the execution and delivery of IT Risk Management. Advise and contribute to the design and implementation of an appropriate first line IT Policies, controls and frameworks. Performing risk assessments for projects, processes, software and infrastructure as required. Ensure compliance with company and other relevant standards/regulations at all times. Raise awareness across the Group regarding IT Risk Management best practice and its developments, working with management to ensure the Group companies are adequately protected. Provide metrics and reporting as required. Responsibility for maintaining department risk registers (as applicable), providing evidence and commentary for controls, updates for Mitigation Actions and escalation as required. The Person Strong and demonstrable experience of implementing IT Risk Management Frameworks. A good appreciation of security, compliance and business continuity standards such as ISO27001, ISO 31000 and PCI DSS. Excellent hands-on technical knowledge. Knowledge and experience of network technologies, and security tools such as vulnerability scanning and remote access technologies. Experience and knowledge of Data Protection Excellent communication and interpersonal skills, both verbal and written. Strong analytical and problem solving skills. Self-motivated and enthusiastic with the desire to meet or exceed targets. Salary is entirely commensurate with experience but will reflect the significance of the role 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.
9 days ago
Compliance Monitoring Manager
c. £45,000 + benefits
Our client is a large and well respected Financial Services organisation who are looking for a monitoring / assurance professional to join the firms Compliance team. The primary focus of the role is to provide assurance over the compliance of the business with FCA and Data Protection Act principles, ABI and JMLSG requirements. Additionally, the role will require the candidate to provide 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 the Regulatory Risk control environment. Role Responsibilities: Undertake allocated Compliance Assurance reviews in line with the agreed plan to provide independent assurance to the Board over the compliance of the business with regulatory and legislative requirements Ensure that regulatory risks are identified with a particular focus on the identification of potentially unfair customer outcomes Contribute to the content of the Risk Universe and preparation of a risk based assurance plan, anticipating potential risks arising and providing objective input to the identification and prioritisation of assurance activity Identify risks or opportunities and engage 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 Experience Required: An understanding of auditing and/or compliance monitoring techniques Experience of Financial Services and FCA requirements 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.
12 days ago
Compliance Monitoring Officer
c. £32,000 + Benefits
The role of the Compliance Monitoring Officer is to assist the Compliance Manager in the successful delivery of the firm’s internal compliance and oversight program. Key responsibilities include: • Conduct routine compliance monitoring reviews in with line with the Compliance Monitoring Plan • Conduct both field based and desktop reviews of retail partners • Assess the compliance arrangements of retail partners on an ongoing basis by reviewing websites, policies, processes & marketing materials and providing feedback with recommendations • Produce regular reports and MI for key stakeholders • Play a key role in the identification, mitigation and ongoing management of risk • Provide guidance on regulatory matters to the business and its retail partners • Support retail partners and lenders in the timely resolution of complaints The Person: • Working knowledge of FCA regulations, in particular CONC, DISP and SM&CR • Experience of working in a compliance role, such as compliance monitoring, auditing or quality assurance • Experience of working in consumer credit or financial services
12 days ago
Guideline Implementation Analyst – Asset Manager
£60,000 - £70,000
Client A leading global Asset Manager is currently looking to recruit a Guideline Implementation specialist who will play a key role within their Mandate Control team. The Mandate Control team are responsible for the implementation, coding and monitoring of investment guidelines and are integral to front office processes working closely with them to ensure guidelines are operationally sound and that investment risk limits are adhered to. The Guideline Implementation Analyst will be responsible for drafting investment guidelines prior to their execution so to ensure i) the guidelines accurately reflect the client’s intent and strategy; ii) investment restrictions are codeable into internal systems; and iii) guidelines are operationally viable and in line with the firm’s key principles. The Role: Ensure the guidelines are in line with the firm’s standard templates and key principles. Ensure the client’s intent has been accurately captured in the guidelines. Consider that frameworks and investment risk limits are operationally supportable and non-ambiguous. Where ‘non-standard’ solutions are proposed, devise alternative solutions that are standardised. Engage proactively with the Client Solutions Group and Fund Managers throughout the guideline review process. Attend guideline execution meetings with the client team, fund managers and other teams. Collaborate with the attendees to ensure guidelines are ready for execution. Manage the fixed income investment templates. Proactively adapt the templates in line with the changing business environment, drafting new templates where required. Requirements: Background in either fixed income, legal, consultancy or client services. Understanding of drafting guidelines from scratch. Knowledge of derivatives and fixed income instruments and strategies. Proficient in using Microsoft Word, Excel, Outlook and PowerPoint. Proactive, self-starter, energetic and enthusiastic individual. Confidence to engage with a variety of people from around the business, including client directors, fund managers, solution designers, dealers, client services etc Excellent attention to detail and the ability to work in a time pressured environment and handle multiple ongoing tasks. Excellent oral and written skills Entrepreneurial mind set and ‘can do’ attitude 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 in the future.
13 days ago
Operational Resilience Manager
c. £65,000 + bonus + benefits
Our client is a well-known Financial Services company who are currently looking to recruit an Operational Resilience Manager. You will be responsible for the development, management and oversight of and compliance with the company’s Operational Resilience Framework. Key responsibilities include: Review regulatory documentation and standards, evaluate impact on the business and develop and implement next step plans Ensure the quality of risk information is complete, consistent, standardised, accurate, integrated and timely Review regulatory documentation and standards, evaluate impact on the business and develop and implement next step plans Develop interpersonal and collaborative skills with the ability to communicate risk focused resilience related concepts to both technical and non-technical audiences Willingness to undertake further training as required for professional development The Person: Solid foundation in Operational Risk Management with exposure to Information Security, IT risk and Resilience principles General awareness of Business Continuity/Resilience frameworks and standards A broad understanding of resilience concepts and related technologies A proactive approach with the ability to generate new ideas Qualifications/Key Skills: Experienced Manager who can demonstrate the previous successful management of all aspects pertaining to operational functions and teams Risk focused approach with the ability to demonstrate strong risk identification and management experience Demonstrates experience in managing risk in a regulated payment services environment Experience of developing and tracking KRIs for measuring, monitoring and reporting operational risk on a continuous basis Experience of division level management engagement and working effectively as part of a team Experience of leading and supporting the completing and review of the audit process Practiced and polished writer of documentation, policies and processes Degree in relevant discipline, e.g. Risk Management, etc Industry certifications in Risk Management. 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.
15 days ago
Risk & Compliance Director (EXCLUSIVE ASSIGNMENT)
£85,000 - £100,000 + extensive benefits + bonus
I am currently working on behalf of a very exciting organisation who bring a diverse range of financial services together to provide support to businesses looking to expand and as their funding requirements change. Entrepreneurially led and with significant plans to grow organically and through acquisition, they are currently looking to recruit a Risk & Compliance Director to act as an ambassador for the Groups compliance culture and standards, demonstrating the highest standards of compliance behaviour and to raise awareness of regulatory requirements and compliance policies. Providing an advisory role for regulatory aspects across the whole group, you will be responsible for ensuring best practice and adherence to the groups compliance and risk regulatory policies and procedures. Key responsibilities include: Risk management To set a risk and compliance framework for the Group in line with the ethics, principles and culture. To take overall responsibility for the advice, management and development of the groups risk and compliance systems Group wide. To advise the Management Board in the implementation of risk and compliance matters across the Group. To provide risk and compliance board reports for the group companies identifying risk and compliance issues - to include AML, Data Protection, GDPR and Cyber Security. To manage the Risk & Compliance team and provide leadership and supervision to them and their work. To be the designated and registered FCA Money Laundering Reporting Officer, FCA Compliance oversight, DPCO and Risk Manager. To ensure the completion of regulatory returns and be the key relationship contact for the FCA and Information Commissioners Office. To participate in the development of the Groups companies risk assessment system and to monitor and ensure the robust management of each individual high risk issue notified under that system. To take robust appropriate action ensuring the effective management of risk within all business lines – including chairing the Group Risk & Governance meetings. To investigate all breaches and near breaches of all regulations and statutes covering the group and report as required. Provide guidance and recommendations on corrective actions or risk mitigation strategies in order to remediate non-compliant situations to Senior Management and the executive. Ensure risk and compliance training is delivered effectively to all staff. Develop and maintain regulatory awareness amongst all staff. Maintain an up to date high level of knowledge and understanding of UK regulations, including the FCA Handbook, money laundering regulations, JMLSG Guidance Notes, Sanctions, Treating Customers Fairly and their implications upon the business activities of the group. Financial Conduct Authority Monitor adherence to policies and report on FCA compliance activities Work with the individual company Risk and Compliance teams to implement FCA regulatory requirements into the firm's compliance programme within its FCA Part IV Permissions. Oversee and monitor the implementation of a cohesive Compliance Monitoring Programme (“CMP”). Carry out risk assessments of business activities for inclusion in the CMP, escalating breaches and risks and ensuring remedial actions are taken. Periodically revise and update the CMP in light of changes in the business activities of the group and FCA regulation. Pro-actively share CMP findings with colleagues to ensure policies, training and support addresses any shortcomings. Structure and oversee independent reviews to evaluate emerging regulatory risks and control weaknesses identified in compliance activities. Carry out the final review and sign off if required, of FCA financial promotions and record compliance approval.Liaise with the appropriate group business directors to manage consumer complaints in relation to FCA activities and in accordance with FCA regulatory requirements and in-house procedures. The Person: Extensive experience operating in a senior compliance role in an FCA regulated environment. Has been previously and will become the SMF 16/17 for the Group companies Ability to build supportive relationships within the different group companies. Makes commercial business decisions and is resilient in the face of resistance. Judgement to balance commercial and compliance risks to achieve positive outcomes. Provides strong leadership, mentoring and coaching within the team to develop skills and expertise. Proven “people skills” in terms of recruiting, appraising, developing and motivating staff. Excellent communication both written and verbal. Salary range is broad and entirely commensurate with experience but will reflect the importance of the role. Benefits are significant and will also include a lucrative bonus potential which will dependent on individual and company success. MERJE has been appointed exclusively on this role and any CVS sent direct to the client will be forwarded through to MERJE for consideration 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.
15 days ago
Interim Business Continuity & Resilience Manager (FTC – 9 Months)
to £80,000 (annual equivalent salary)
Our client is a leading retail business who are currently recruiting for an Interim Business Continuity & Resilience Manager on a fixed term contract for an initial 9 months. The role will report to the Finance Director and is required to provide some additional and expert support. Key responsibilities include: Managing, delivering and embedding projects that support the business continuity, resilience and crisis management for the group. Delivering the risk and compliance change initiatives in line with the agreed group strategy Developing, planning and justifying pragmatic BCP, resilience and risk management frameworks for the group Managing, monitoring and reporting on project deliverables to ensure the right decisions can be made at a strategic level Managing and testing the business resilience programme to ensure delivering change within the department within an effective governance framework, including requirements gathering and benefits realisation Leading, creating and delivering an appropriate BCP and Crisis Management framework Working with the business to ensure practical BCP and Crisis management plans are in place for all departments and respective responsibilities are understood and acted upon Monitoring and overseeing plans to ensure they remain effective and are exercised in line with the BC Framework Supporting projects to ensure business continuity is considered within the early stages Engaging and working in partnership with the business to ensure full understanding of gaps and vulnerabilities and recommending how to manage these in line with risk appetite Supporting IT to deliver robust testing platform for all compliance and risk project requirements Managing and monitoring commercial and budgetary performance for business continuity, resilience and crisis management projects Building and gaining sign off for robust business case and required budget for all projects Identifying, recommending and delivering opportunities to maximise revenue generation, efficiencies and/or reduce cost Managing and monitoring that the project stays within agreed scope Delivering the agreed benefits realisation for the project The Person: Experience of working within a corporate/commercial environment Experienced business continuity subject matter expert Very good working knowledge of the regulatory environment Extensive experience of successfully implementing change Experienced trouble shooter Is delivery and customer focussed Excellent communication and collaboration skills at all levels Able to lead by examples across all areas of a business Proven track record of consistently meeting and exceeding KPIs and targets Ability to plan and prioritise effectively to meet changing priorities and demands 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 challenge appropriately Is tenacious and resilient Salary is commensurate with experience and will be pro rata’d accordingly given the length of contract. 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.
19 days ago
Regulatory Adviser The role will act as a key point of contact for the Regulatory Advice team, and work closely with the wider Risk & Compliance function. The role holder will perform risk based monitoring within all areas of the business to ensure adherence to business, legal and regulatory standards and to carry out monitoring activity to help mitigate against risks as identified by the Group Risk Management Committee. Key responsibilities include: To create the risk based monitoring programme, to implement and deliver this programme to the required processes and standards within the Regulatory team, monitoring techniques will include field (on-site) and desk based. To track, collate and communicate the risk based monitoring programme results to Managers and Staff within the business. To have a responsibility for conducting monitoring on non-advice areas; such as investment, operations, finance and HR. To work closely with the Risk Department to ensure results of monitoring are incorporated into the Risk Framework. To ensure that Remedial Actions arising from monitoring activity are completed, any training needs identified, Action Plans implemented and followed through by Managers and procedures or systems are changed to prevent re-occurrence. To ensure understanding of the business regulatory standards and controls by Managers and staff both across the Private Wealth and Corporate functions of the business to identify risk. To operate L&R policies and procedures as defined. To maintain and operate effective risk based monitoring procedures, processes and tools. To carry out and implement business projects and engage in liaison with external bodies including third party suppliers and other professional bodies engaged to work with the business. The Person: Ideally Investment Compliance Diploma (minimum Investment Operations Certificate) or requisite knowledge and experience in the Financial Services Industry Good understanding of retail investment products, FCA regulated financial services firms and Discretionary Fund Management A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business Ability to extract and identify issues of potential risk 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.
19 days ago
£40,000 + Benefits
Pensions Technician The role is to provide professional support and assistance to the Pension Transfer Specialists (PTS) and client service process. You will liaise between the Pension Transfer Specialist and the Paraplanning team and sales support team. Key responsibilities include: Keep up to date with training and supervision requirements according to their competence as set out in the T&C Scheme. Act with integrity and professionalism; paying regard to the interests of our customers (treating them fairly); and being open and co-operative. Gather information on the telephone from clients and from 3rd parties including insurance companies and scheme administrators. Complete client fact finds and support the PTS in client fact finding Monitor expiry dates and prioritise work. Provide weekly reports to the PTS Supervisor relating to output, and other Management Information as required. Conduct research and analysis of financial products to meet client requirements Managing the presentation of technical data to the PTS Keep up to date with FCA related and other regulatory issues including any changes to the FCA rules The Person: QCA Level 4 qualified. Working towards AF7 and at least 2 year’s industry experience. The role would suit somebody who wishes to progress to an adviser role. Must keep up to date with products and services available in the market in order to assist Advisers with research. 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.
21 days ago
£55,000 - £60,000
Job Description: Compliance Associate required for a global compliance professional services firm headquartered in London. As a Compliance Associate you will be part of a Regulatory Compliance team focusing on projects that require specialised regulatory compliance skills/knowledge. The Regulatory Compliance team specialise exclusively on compliance projects in relation to CASS, Transaction Reporting and Best Execution for a broad range of their financial service clients. The Regulatory Compliance team have exceptionally high standards and everyone within the team all have excellent academics, attitude and a genuine interest in compliance. The Compliance Associate role will cover all aspects of Governance, including SMCR, CASS, MiFIR Transaction reporting and Best execution. You will also get the ability to get involved in: • Drafting policies and procedures • Developing training materials • Assisting with authorisations and variations of permissions. You will have good understanding of the FCA compliance rules and regulations in relation to the areas covered by the Regulatory Compliance team. The Regulatory Compliance team is circa 15 people and is part of a much larger Compliance Projects practice. There are ample opportunities for career progression and it is not uncommon for a Compliance Associate being promoted to Managing Compliance Consultant in a few years. 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.
22 days ago
Financial Promotions Officer
£48,000 + 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.
I was tasked with recruiting an entire Risk and Compliance function and met with MERJE to discuss our requirements. I left them to do the rest – and they did. They know the market and took the time to listen and understand our culture, providing good quality candidates. They are now our ‘go-to’ company.
Talent Attraction & Selection Manager, UK Insurer
MERJE helped me make my first steps into the Interim market, from finding my first role, to setting up as a Contractor and getting paid! Regular contact at key points gives me the assurance they’re working on my behalf. They’ve been extremely helpful through some difficult times; they’re a trusted source of information and guidance.
Interim Support Advisor, Leading Banking Group
MERJE was extremely knowledgeable about roles, salaries, skills and businesses within the compliance arena, meaning they only contacted me about roles they knew were suitable. They were always truthful and honest throughout the process and my new role meant a significant uplift in salary and opportunities, so excellent all round!
Compliance Manager, International Banking Group