Skills

Monitoring Stakeholder Management Problem-solving Decision-making

Job Specifications

This role offers the opportunity to work across both second-line compliance monitoring and regulatory advisory, supporting the business in maintaining a strong compliance framework while ensuring activities align with evolving regulatory expectations and Consumer Duty requirements.

Working closely with senior stakeholders, you will provide constructive challenge and guidance to business areas while delivering risk-based monitoring and assurance activity.

Key responsibilities:

Supporting the development and delivery of the Compliance Monitoring Plan
Conducting risk-based compliance monitoring reviews, thematic reviews and assurance activities
Providing practical compliance advice and consultancy to stakeholders across the business
Identifying and assessing conduct risk and supporting the development of a customer-centric culture
Interpreting regulatory developments and supporting the implementation of regulatory change
Recommending improvements to internal controls and supporting remediation activity
Building strong working relationships with first-line operational teams
Supporting responses to FCA regulatory engagement, requests and thematic reviews
This is a broad second-line role combining both monitoring and advisory responsibilities.

Experience & Skills:

Minimum Level 4 Diploma in Financial Planning (or equivalent)
Proven experience in a 2nd line compliance role within an IFA, wealth management, or financial planning environment.
Demonstrated expertise in file reviews and advice quality assessments.
Strong understanding of compliance monitoring methodologies
Good knowledge of the FCA regulatory framework, particularly Conduct of Business rules and conduct risk
Understanding of Consumer Duty expectations
Knowledge of financial crime and data protection frameworks
Strong analytical, problem-solving and decision-making abilities
Excellent organisational and stakeholder management skills

Applicants must be located and eligible to work in the UK without sponsorship.

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About the Company

MERJE is a widely trusted specialist talent solutions provider. Since 2011, we've been pairing the best candidates with the most suitable career opportunities so you can get on with your day job. Our range of recruitment solutions can deliver success for any business, which is why our many long-term partnerships with clients range from startups, fintechs and SMEs to national banking groups and global organisations. Permanent | Interim | Executive | Market Intelligence Mid-to-Senior | C-Suite & Executive | NED Financial S... Know more