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MERJE is currently working with a highly reputable discretionary wealth management business in their search for a Compliance specialist.
Working as part of an established Compliance & Risk team, you will be responsible for:
- Overseeing advice to support the business in the practical application of the regulatory frameworks.
- Providing regulatory advice on the existing regulatory frameworks and developments.
- Providing regulatory advice to the First Line to ensure the best outcomes for clients
- Provision of advice to various governing bodies and committees.
- Keeping up-to-date with the activity on the regulatory change process to monitor how the identified regulatory updates impact the businessÂ
- Management of the Enterprise Risk Management framework and associated risk assessments to identify, assess and manage risk and providing advice to the business on the implementation of effective systems and controls to ensure the best outcomes for clients and to ensure compliance under the regulatory system.
- Providing management information to the Head of Compliance & Risk
- Overseeing procedures for the Compliance Team consistent with internal standards, business goals and attitude to risk.
- Staying current on the firm's Consumer Duty obligations and regulatory requirements
- Advising on implementing robust policies, controls and risk frameworks that enable positive consumer outcomes and mitigate potential harm across all business activities.
Experience/Skills/Qualifications:
- Relevant compliance and/or Risk experience gained within a wealth or investment management environment.
- Strong understanding of regulatory requirements, industry best practices and emerging risks – relevant to the wealth management sector
- Good knowledge of policies, controls and monitoring required to enable positive consumer outcomes
- Ability to interpret complex regulations and provide clear, actionable guidance
- Effective communication skills to advise stakeholders across all levels
- Proactive, self-supportive, and motivated in fostering a positive compliance culture
- Excellent report writing and presentation skills
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.
