MERJE is partnering with a leading financial services business to recruit a Compliance Advisory specialist into its UK Compliance function.
This is a broad, hands-on compliance role supporting a growing business where you will take on work across advisory, conduct, regulatory change and compliance oversight.
Key Responsibilities
- Support Consumer Duty activity and the ongoing assessment of customer outcomes.
- Provide compliance input into new products, services and business developments.
- Support regulatory change and implementation projects.
- Assist with compliance issues, breaches and associated remedial activity.
- Maintain and develop compliance policies, procedures and guidance.
- Build strong relationships across the business, providing pragmatic advice and constructive challenge.
You should have:
- Broad compliance experience across advisory (COBS, CASS, MiFID/EMIR, Consumer Duty etc.) relating to trading desks and/or product governance (new product/service launches)
- An understanding of retail investment or trading products; knowledge of CFDs or derivatives would be advantageous.
- Experience advising commercial stakeholders and translating regulation into practical guidance.
- Strong communication and stakeholder management skills.
- A pragmatic, commercially aware approach to compliance.
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Compliance Advisory Manager - Trading in London employer: MERJE
As a leading wealth manager, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our Compliance Analysts play a crucial role in shaping our compliance monitoring framework, with access to cutting-edge tools and resources, while enjoying a supportive environment that encourages innovation and collaboration. Located in a vibrant financial hub, we offer competitive benefits and opportunities for professional advancement, making us an exceptional employer for those seeking meaningful and rewarding careers in the financial services sector.
