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Compliance Partner

  • Location: United Kingdom
  • Salary: c. £45,000 + Excellent Benefits per year
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Contact Phone: 0161 883 2747
  • Expiry Date: 14 June 2023
  • Job Ref: PC/10333

This is an exciting opportunity to join a team of compliance professionals who will support AR Firm Principals with understanding their business and working with them to ensure their firm and the network remains safe.

You will have the opportunity to apply your knowledge and experience in working with the AR Firms to support them and develop action plans, as required.

The role will involve taking responsibility for the following:

 Your role is to deliver regulatory oversight to appointed representative firms.

The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function.

You will work with AR Principals to help them achieve effective governance of their AR Firms & Advisers, whilst adhering to Network standards. This will be achieved through a program of firm attestation reviews and firm governance assessments.

You will identify areas of concern in a firm's current processes, set action plans and agree timescales for these to be rectified.

You will identify risks and escalate any identified concerns through to the Team Manager, using the correct escalation channels and manage identified issues to conclusion.

Key Requirements:

Experience of Network/National and IFA/restricted advice models

QCF Level 4 or equivalent


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.

If you would like this job advertisement in an alternative format, please contact MERJE directly.