Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Manage compliance monitoring, regulatory oversight, and provide advisory support in investment management.
- Company: Join a reputable Investment and Wealth Management firm focused on ethical finance.
- Benefits: Enjoy a flexible work environment with opportunities for professional growth and development.
- Why this job: Gain diverse compliance experience while contributing to a values-led, employee-owned organisation.
- Qualifications: Must have compliance experience in wealth/investment management and relevant certifications like Level 4 CISI or CFA.
- Other info: This is an 18-month fixed-term contract with a chance to make a real impact.
The predicted salary is between 36000 - 60000 £ per year.
Our client, a reputable Investment and Wealth Management firm, are recruiting for a Risk & Compliance Manager on an 18-month FTC. The role supports the Head of Risk & Compliance, focusing on regulatory oversight, risk management, and compliance assurance activities. This varied role is an excellent opportunity to gain broad compliance exposure across the Investment management arena.
Key Responsibilities Overview:
- Compliance Monitoring: Conduct client file checks, monitor communications, and provide input into the Compliance Monitoring Programme.
- Regulatory Oversight: Prepare Management Information (MI), assist with FCA reporting, and conduct due diligence.
- Advisory Support: Respond to compliance-related queries in investment management and financial advice.
- Governance & Risk: Maintain risk registers, liaise with risk champions, and oversee registers including PAD, conflicts, and complaints.
- Technical Compliance: Perform trade and transaction monitoring and assist with T&C scheme oversight.
- Policy & Audit: Maintain policies and support internal/external audits.
Ideal Candidate Profile:
- A detail-oriented and analytical compliance professional with the ability to work autonomously.
- Experience managing compliance monitoring frameworks and interpreting regulatory requirements.
- Effective communicator, able to influence at all levels and collaborate across functions.
- Comfortable with regulatory reporting, risk registers, and audit support.
- Motivated by ethical finance and working for a values-led, employee-owned organisation.
Requirements:
- Sector-specific compliance experience: Ideally in wealth/investment management.
- Understanding of Consumer Duty: And ability to translate monitoring results into improvement actions.
Qualifications: Level 4 CISI, CFA, or equivalent compliance certification.
Risk & Compliance Manager employer: MERJE Ltd
Contact Detail:
MERJE Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Risk & Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest regulatory requirements and compliance frameworks specific to the investment and wealth management sector. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the risk and compliance field, especially those working in investment management. Attend industry events or join relevant online forums to build connections that could lead to valuable insights and potential referrals.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully managed compliance issues or improved processes. Having concrete examples ready will showcase your analytical skills and ability to work autonomously, which are key for this role.
✨Tip Number 4
Research the company’s values and culture, particularly their approach to ethical finance. Being able to articulate how your personal values align with theirs can set you apart as a candidate who is genuinely interested in contributing to their mission.
We think you need these skills to ace Risk & Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in risk management and compliance, particularly within the investment and wealth management sector. Use keywords from the job description to demonstrate your fit for the role.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of regulatory oversight and compliance assurance activities. Mention specific experiences that align with the key responsibilities outlined in the job description.
Highlight Relevant Qualifications: Clearly state your qualifications, such as Level 4 CISI or CFA certifications, and explain how they relate to the requirements of the Risk & Compliance Manager position. This will help you stand out as a qualified candidate.
Showcase Your Communication Skills: In your application, provide examples of how you've effectively communicated compliance-related information in previous roles. This is crucial for influencing at all levels and collaborating across functions, as mentioned in the job profile.
How to prepare for a job interview at MERJE Ltd
✨Know Your Regulations
Familiarise yourself with the latest regulations in investment and wealth management. Be prepared to discuss how these regulations impact compliance monitoring and risk management, as this will demonstrate your expertise and understanding of the sector.
✨Showcase Your Analytical Skills
As a Risk & Compliance Manager, analytical skills are crucial. Prepare examples from your past experience where you successfully identified risks or compliance issues and how you addressed them. This will highlight your problem-solving abilities.
✨Communicate Effectively
Effective communication is key in this role. Practice articulating complex compliance concepts in simple terms. Be ready to explain how you would respond to compliance-related queries and influence stakeholders at various levels.
✨Demonstrate Ethical Commitment
Since the firm values ethical finance, be prepared to discuss your motivation for working in this field. Share your views on the importance of ethics in compliance and how you have upheld these values in your previous roles.
