MERJE are working with a reputable UK Wealth Management firm in their search for a capable Compliance specialist.

You will be responsible for:

• Analysing regulatory requirements and overseeing the implementation of new or updated processes in coordination with other business units
• Day-to-day oversight of existing or newly implemented compliance processes
• Identifying areas for compliance improvement and initiate projects to achieve optimised outcomes
• Assisting with reviews and approvals of financial promotions/marketing material when required
• Handling external requests for information from regulatory bodies/external stakeholders
• Assisting with projects for business improvement that have regulatory implications
• Producing Compliance MI
• Assisting with the approved persons process
• Establishing and updating policies

Background/Experience

• Relevant regulatory knowledge within the wealth management or asset management industry  
• Good working knowledge of FCA Conduct of Business rules
• Ability to navigate and interpret the FCA Handbook
• 4-5 years’ relevant experience within a broad Compliance role
• Ability to work unsupervised
• Effective communicator 
• Good organisational skills
• High level of accuracy/attention to detail – quality output
• Strong interpersonal skills