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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
Senior Operational Risk Analyst – Retail Banking / Lending
To support the ongoing operational risk controls, regulatory culture and embedding of an effective Operational Risk Management framework throughout the Group, in accordance with regulatory and legislative requirements (e.g. FCA / PRA SYSC) and guidance. Key responsibilities include: Responsible for the analysis and management of risk events escalation and reporting process throughout the Group To ensure that appropriate trends / MI are reported to the Head of Operational Risk and appropriate management committees Management of all data analytics and insight against the key operational risk indicator metrics Collection of core management information for reporting purposes Ensuring that effective risk management systems and technology are established and maintained throughout the Group to ensure effective and efficient operational risk management. Including the oversight of the risk management systems data and provide analysis of trends and emerging risks Provide control effectiveness solutions and recommendations to the Group Responsibility for the management of the Group’s process for root cause analysis of risk events and ensuring that appropriate trends / MI are reported to the Head of Operational Risk and appropriate management committees To support the Head of Operational Risk in the following activities: Development, implementation and oversight of the effective embedding of the Group’s Operational Risk Policy Development, implementation and oversight of the effective embedding of the Group’s Risk and Control Self-Assessment process and align to regulatory / legislative requirements and guidance Ensuring that an effective training and support framework in relation to operational risk management is established and maintained throughout the Group Effective development, implementation and delivery of the annual operational risk assurance plan in accordance with all relevant regulatory / legislative requirements and guidance. Effective management of the relationship with all third parties that provide operational risk management services / products / systems Education and skill set: Operational Risk experience in a regulated business Technical knowledge of FCA/PRA/SYSC Communicates persuasively - portrays a consultative style but is not afraid of making unpopular decisions Able to proactively mitigate potential points of conflict Rallies people across functions to deliver a commonly understood goal Able to adapt as situations change Is able to maintain and develop relationships with key regulators and industry experts at their level Capable of representing the firm at industry working groups Understands the need to work with the business to create commercially viable solutions to regulatory challenges Shows the ability to translate complex regulatory rules and communicate these across the business Provides organisation wide guidance and tone for effective compliance Able to look at risk from many angles and accurately assesses the impact of scenarios Can maintain team focus on risk management and adherence to requirements Understands the importance of stress testing, scenario analysis and contingency planning Responds quickly to stamp out inappropriate behaviour from a risk perspective Puts in place comprehensive and effective policies, processes and controls for managing 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.
5 days ago
Risk and Compliance Manager
£60,000 + benefits
An exciting opportunity has arisen within a niche insurer for an experienced Risk and Compliance Manager to join our business. Reporting to the Managing Director, you will be responsible for all aspects of regulatory risk, compliance and data protection. The ideal candidate will have significant experience of working in the financial services sector in a Risk and Compliance role, preferably within the general insurance market. You must be a proactive self-starter who can work with minimal direction and supervision, with the drive and passion to lead the compliance agenda. Key responsibilities include: Leading all aspects of risk and compliance across our business and the two connected Insurance Brokers, to ensure they remain compliant with PRA, FCA and data protection regulation including: The provision of advice and guidance to the Board and business areas on PRA, FCA and data protection legislation Managing the risk management framework Compliance monitoring Regulatory reporting Liaison with the FCA, PRA and ICO Reviewing financial promotions to ensure compliance with regulatory requirements Compliance and Data Protection related training across the regulated entities The Person: Extensive experience working in a senior risk and compliance position, ideally within a PRA authorised firm in the general insurance market Detailed knowledge of regulatory requirements affecting general insurance and a sound understanding of the FCA and PRA rules and handbooks and data protection regulation 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.
8 days ago
Compliance Officer – Funds/PE
£65,000 + Benefits
MERJE is currently supporting a highly reputable and well established global Alternative Funds/Private Equity firm in their search for a Compliance specialist to join their team in London. The primary focus will be to support the Head of Compliance & MLRO both locally and globally to ensure the firm continues to manage their evolving regulatory requirements. The Role Taking on generalist remit, you will be responsible for: Providing advice and guidance on marketing literature, white papers, financial promotions and RFQ’s Supporting the MLRO and the AML/KYC champion in the onboarding process. Providing advice and guidance on financial crime risks (particularly AML and terrorist financing) Supporting the global Compliance Monitoring Programme. Assisting with the oversight of staff disclosures and Individual Accountability regime requirements (such as SMCR) Help to produce MI for Board Reporting and other governance Maintenance of written policies and procedures Delivering applicable training to the business and other colleagues. The review of applicable regulatory developments that impact the business in Europe & Asia. Key Requirements 3-4 years of Compliance experienced gained in either a private equity / alternative investments or funds environment Excellent understanding of Financial Crime risks and knowledge of KYC & AML requirements Relevant experience dealing with Financial Promotions/Marketing Ideally some knowledge of regulatory requirements in other jurisdictions ie Luxembourg AIFMD/MIFID/FCA Handbook knowledge A good degree is a must (from a Russell Group university is advantageous). Team Player - collaborative but also able to work independently with minimal supervision. Highly motivated, highly organised, strong work ethic. Strong written and verbal communications skills.
14 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.
14 days ago
Compliance & Data Protection Officer
up to £45,000
My client is a leading Healthcare technology provider who are currently looking for an individual who will be central to the Company’s strategy in maintaining regulatory compliance and driving sustainable improvements in Data Protection, quality and security, You will be expected to work autonomously and to proactively drive the continued compliance with regulations. You will be required to have an understanding of the current landscape of information technology and ideally, healthcare to ensure the Company is prepared for any changes in the regulatory landscape. You will be a key member of the team across the Company and lead in promoting ongoing compliance with regulations. This will include the development of assessments and systems to monitor and report against a wide range of key regulatory focus areas. Key responsibilities include: You will represent the firm in DPO and compliance activities, audits with internal stakeholders, customers, vendors and standards companies. Provide practical data protection advice, guidance and assistance including meeting the firms’ obligations under the data protection law Plan and conduct internal audits for all certifications, particularly ISO 9001/27001; including audits of 3rd parties, ensuring audit results are captured and communicated Brief teams on the requirements of external audit and the evidence that needs to be retained and presented to show compliance. Manage external audit activities, directing activity during the audit, supporting colleagues in evidencing processes, and communicate results and actions plans Track and manage to resolution non-conformances from internal and external audit Act as subject matter expert in formal management reviews of GDPR, QMS and ISMS. Plan, lead and document risk analyses to company standards and processes including management of risk registers Propose and develop appropriate security and compliance policies and procedures along with internal stakeholders to ensure viability along with business practice. Lead on activities required to update current certifications as requirements change Review Group standards proposals and produce gap analyses identifying areas of difference and the necessary activities to bridge the gap, along with recommendations for action Act as a focal point for compliance and information security-related queries from colleagues, customers and vendors including during tender processes Conduct Data Protection Impact Assessments. Review and align IT policies and processes to current and emerging legislation and industry best practice. Create awareness programmes to engage employees. The Person: You will have experience of planning and conducting audits for ISO 9001 and 27001. Experience in creating and monitoring compliance programmes Experience working with auditors. Exceptional communication and interpersonal skills, both written and verbally across all levels. Motivated organisational skills with an ability to work to tight deadlines and manage your workload effectively. You should be a team player but comfortable working under your ow initiative. You should be excellent problem solver with great attention to detail. Flexible and innovative approach. You will be keen to adopt other regulatory standards to include in the company compliance improvements. Highly developed analytical skills with a keen eye for detail. Ability to analyse and understand business processes, policies and practices and to assess risks. Able to tactfully influence peers and possess sufficient self-confidence to question the veracity of systems, practices, procedures and policies. Salary is entirely commensurate with experience and will include a discretionary bonus and benefits. 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.
20 days ago
Compliance Officer – Consumer Credit
£40,000 - £50,000
Job Description: Our client is looking for a strong compliance professional to be the primary source of compliance advice to 1st line of defence business areas. The role will also carry out quality assurance 2nd line of defence monitoring activites. Key responsibilities include: Accountability for providing accurate and timely compliance service delivery on both strategic development and operational matters. Embed in allocated business areas as functional business partner to the first line of defence to identify, assess and monitor and support the business area Provide independent day-to-day quality assurance support, guidance and recommendations to identify regulatory compliance risks associated with business activities. Assist allocated business areas with the planning and the implementations of changes. Establish, implement and maintain adequate policies and procedures and compliance risk mitigating recommendations / advice sufficient to ensure compliance of the organisation including its managers, employees and appointed representatives with obligations under relevant regulatory laws and regulations. Develop and maintain an understanding of regulatory requirements, particularly in terms of their impact on activities in the business. Plan for and undertake monitoring activity in relation to the Compliance Monitoring Plan to ensure alignment with relevant regulatory laws, regulations, policies and procedures. Support the compliance team in the design of the overall Compliance Monitoring Plan and the individual scoping of reviews, in addition to identifying any amendments that might be required during its operational phase to facilitate appropriate decision-taking. Participate and advise on key business projects and thematic business wide compliance activity, as required. Assist in driving the Compliance Monitoring Plan forward and identifying any potential risks in terms of not being able to complete the plan or specific reviews within planned timelines, escalating these issues where necessary within the compliance team in line with business The Person Planning and organising - able to think ahead in order to establish an efficient and appropriate course of action for self and others. Prioritises and plans activities taking into account all the relevant issues and factors including deadlines Influencing and persuading – able to present sound and well reasoned arguments to convince others. Can draw from a range of strategies and techniques. Managing relationships and team working – able to build and maintain effective working relationships Analytical thinking – able to simplify complex problems, process or projects into component parts, explore and evaluate them systematically. Excellent communication – working with all levels of the business Consumer Credit or Motor Finance background would be ideal
26 days ago
Compliance Oversight Analyst
The role will assist the oversight team in implementing an effective external oversight programme, including but not limited to investment managers and sponsors, and provide regular reporting to the board of directors and senior management. Key responsibilities include: Supporting the Compliance Manager in undertaking the monitoring of outsourced functions through desk based monitoring and onsite visits Providing guidance and support to outsourced functions to ensure they are operating in a manner consistent with the regulations, industry standards and our expectations Prepare regular reports to management on the outsourced functions, in particular highlighting any key risks or areas for concern Communicate with outsourced investment managers and sponsors in relation to regulatory change and industry standard to ensure any changes impacting Assist with the update and maintenance of policies and procedures in relation to the oversight of outsourced functions ensuring that they reflect any regulatory changes or areas identified as high risk Undertake additional projects as directed from time to time by the Compliance Manager The Person: Educated to degree level Completed or working towards IOC (Investment Operations Certificate) Previous experience in a similar role would be advantageous To discuss the role in greater detail please contact Paul Clayton on 0161-883-2747 or send through your CV to firstname.lastname@example.org 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.
about 2 months ago
Compliance Monitoring Manager – Asset Manager
£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
3 months ago
Senior Manager – Compliance (Advice)
£70,000 - £75,000
Job Description: One of the new Banks growing and demonstrating great success in the market, this Bank offers a flexible and personalised approach to bridging loans and secured lending for over 15 years. The London HQ is now offering more products within the Retail Banking suite and this role is a new position brought about by the growth in the Bank. Key responsibilities include: Working as part of a small and dynamic team, reporting to the Head of Compliance, you will be responsible for offering expert compliance advisory services with the Bank Responsible for providing regulatory advice to the Bank and ensuring changes to the regulatory environment are continuously monitored and to work with the business to ensure that the bank remain compliant Ensure the Head of Compliance is made aware of any regulatory matters that impact the Bank Produce and present monthly horizon scanning reporting to key committees, including supporting the business to manage and monitor conduct risks Working with the business to recognise and comply with regulatory change Acting as the compliance lead on projects, advising the business from a regulatory and customer outcome perspective Maintain the compliance policy library, ensuring it is up to date and available to all staff Review and approve financial promotions and customer facing documentation Represent the Bank’s compliance function at committees and industry working groups Deputise for the Head of Compliance in their absence The Person 10 years’ demonstrable experience with a regulated company / regulator A recognised industry qualification Strategic thinker whilst able to manage day-to-day operations Capability to influence senior management as well as more junior members of the team Expert regulatory knowledge in lending (mortgages – MCOBS) – as well as BCOBS, SYSC and PRIN Depth of understanding in relation to the requirements for vulnerable customers Able to interpret regulatory rules and guidance and translate these to the business, making clear the requirements and the risks, alongside monitoring implementation progress Strong communication skills Confident in representing the Bank to regulators and industry bodies
3 months ago
Compliance Monitoring Manager – Investment platform / IFAs/ Retail FS
£75,000 - £85,000
Job Description: The purpose of this role is to be responsible for the operation of the Compliance Monitoring Programme including delivery of the annual risk based Compliance Monitoring Plan – and provide leadership to the Compliance Monitoring Officers. Key responsibilities include: Lead and maintain an effective Compliance Monitoring team so that is has sufficient expertise, resource and a programme of activities appropriate for the Group’s business Lead independent 2nd line risk based monitoring, risk assessments and adhoc reviews of procedures, business and compliance processes to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and policy Review, refresh and deliver the annual risk based Compliance Monitoring Plan including completing risk assessments to help identify key areas for review Engage proactively with business stakeholders to influence timely and effective and proportionate remedial action in response to the outcome of monitoring activities Provide relevant, accurate and timely MI in a format which is clear and engaging in particular by overseeing the preparation of the monthly Compliance Monitoring report Maintain an effective relationship and work collaboratively with the Internal Audit team which includes joint planning and managing overlaps The Person Educated to degree level At least 5 years’ experience of working in a financial services audit or compliance monitoring role in investment and or / insurance Proven track record of successfully delivering Audit work or Compliance Monitoring Programmes Ideally bring previous Platform experience Life company experience Any experience of having worked in the Regulator would be welcome 2 years’ team management and staff development experience Excellent oral and written communication skills Committed and organised with good attention to detail Proactive and dynamic with strong technical knowledge
3 months ago
Senior Compliance Officer – Mortgages / FinTech
£50,000 - £60,000
Job Description: We are looking for an experienced leader from the Mortgages industry in compliance to lead the compliance team focus and priorities in this successful FinTech looking to become directly authorised and experience further growth in the short term to deliver great value online mortgages Key responsibilities include: Supporting the senior management / exec on the compliance business plan Managing and leading compliance activities across the business, maintaining a focus on key priorities to maintain the FCA expectations across the regulatory landscape Leading on quality assurance, quality control, monitoring and reporting activity within the Advisory business Managing the team and ensuring strong results delivered efficiently Representing Compliance within the Group and externally as a key point of contact Keeping up to date with UK legislation and regulation, codes of practice, industry guidelines and best practice to apply to the business Leading oversight of financial promotions activity Horizon scanning for awareness of changes happening in the business and how these will impact - ensuring the governance framework is robust enough to support this The Person Deep knowledge of mortgage advice, originating and operations processes Proven experience of operating at a senior level in compliance within a regulated firm A passion for customer excellence A start up attitude and ability to get things done in a fast-growing organisation A keen desire to build the company in a leading role, working alongside top management Senior stakeholder management skills Excellent communication, interpersonal and presentation skills
4 months ago
Compliance Analyst - Mortgages
£30,000 - £35,000
Job Description: The purpose of this role is to support the Compliance Manager in providing oversight of compliance activity. Understanding regulatory requirements in relation to mortgage servicing and responsible for compliance monitoring / quality reviews across the regulated businesses. The Client- This firm has been established for over 30 years and operates as a residential mortgage lender, servicer and buy-to-let specialist. Now also looking to develop more growth opportunities in the Mortgages market alongside its established offerings. This Client does not provide sponsorship. The role- Carrying out monitoring tasks in line with the compliance monitoring plan Liaising with other teams to ensure reviews are completed in a timely manner Deliver 2nd line quality assurance reviews and highlight any non-compliance and / or quality assurance problems to completion with the business area Produce, clear and accurate compliance data and reports Manage MI relating to the reviews and recommendations Ensure compliance control recommendations are implemented and update on any relevant regulatory changes Provide technical Compliance advice to the business under the guidance of the Compliance Manager Support the Head of Compliance in maintaining an effective 2nd line of defence over business activities Key Requirements- Ideally candidates will be able to demonstrate compliance experience Mortgages industry experience would be desired with any knowledge around MCOBs to support or Consumer Credit (CONC) The individual can come from a Quality Assurance (QA) background Strong communication skills Ability to manager stakeholders successfully
4 months ago
Associate – Mortgages / Consumer Credit & Insurance
Job Description: This role will be responsible for delivering Regulatory Advice, with a leading regulatory consultancy, specialising in the mortgages, consumer credit and insurance markets (FCA) (MCOB, CONC and ICOB) Key responsibilities include: Working with clients on the delivery of high quality regulatory risk / compliance advice around topics including; suitability, product governance, regulatory change, financial promotions, complaint handling Delivering client projects Drafting and maintaining policies, procedures and compliance monitoring programmes Assisting clients with regulatory control changes and process improvements – including authorisation applications and variations of permissions Arrange and prepare for client meetings Manage the client files in relation to document and data tracking Business development task: Work successfully with clients and contacts to build strong, long term relationships within the industry Investigate ways of improving the client base through market research and identifying new prospective clients to develop Attend industry relevant events to both further grow your network and also promote the firm’s brand Work closely with the team on marketing and business development initiatives Education and skill set: Educated to degree level Minimum 2 years relevant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator –Strong technical knowledge of mortgages, consumer credit and insurance (FCA focussed) Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions and advice Stakeholder management experience (if from Professional Services, experience of managing clients ideally) You will need to be flexible, hands-on and willing to tackle a broad range of matters, which may be outside your main areas of expertise Excellent oral and written skills Ability to have a high attention to detail – often working with complex information and being able to summarise into meaningful information Entrepreneurial mind set and ‘can do’ attitude
4 months ago
Senior Compliance & Financial Crime Officer
£70,000 - £75,000
Job Description: A Senior Compliance & Financial Crime Officer is required for a Fund & Service Administrator based in Hampshire. You will be an experienced Senior Compliance & Financial Crime Officer processional covering all aspects of Compliance & Financial Crime. As Senior Compliance & Financial Crime Manager, you will report directly in the Head of Compliance. Responsibilities include: Compliance & Financial Crime Monitoring Providing ad hoc, day to day Compliance & Financial Crime advice to the business Creating new, developing/realigning all Compliance & Financial Crime policies and procedures. Compliance & Financial Crime Training Working with the business on various Compliance & Financial Crime projects Constant engagement with senior stakeholders on all aspects of Compliance & Financial Crime
5 months ago
Head of Compliance - Insurance
£75,000 - £85,000
A newly created role due to further growth and success of the business. The objective of this role is to lead the Compliance team and to provide advice and guidance to key stakeholders and lead a team of Risk & Compliance partners to ensure that risks and issues across all businesses are appropriately identified and managed. Responsibilities: • Engage with stakeholders on BAU and change activities within the business to ensure compliance if maintained and developed • Manage the implementation of the compliance framework across operational and change activities • Lead and motivate the compliance team in their advisory and assurance activities and personal development • Work with stakeholders, directly and through the compliance team to propose and agree actions required to mitigate key risks • Provide advice and support which enables management to make informed decisions which reflect regulatory expectations and risks • Enhance and maintain an effective compliance culture • Lead and oversee delivery of Compliance training and awareness activities • Leading the Business Risk and Sales Quality Teams to provide assurance to the business • Represent compliance at relevant meetings and committees and third party providers and partners Key Competencies: • Strong technical background of FCA regulatory requirements across General Insurance - ideally in a distribution company • Strong understanding of a range of compliance frameworks • Strong communication skills, both orally and in writing across all levels of management • Ability to build successful relationships with a number of senior stakeholders • Ability to operate effectively within a fast paced organisation • Ideally have experience of advised sales processes
8 months ago
Head of Compliance - Mortgages
£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.
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