Job Description
MERJE are currently partnering with an exciting investments business who are looking for a Senior Compliance Manager to join their growing team.
- Pro-actively identifying, investigating and resolving compliance issues and risks.
- Conducting technical research and analysis to support new business activities, products and services.
- Using common sense, experience and an in-depth knowledge of products, market and risk tolerance to deliver clear, consistent and practical advice.
- Developing and implementing practical, accessible policies, procedures and controls.
- Owning, developing and executing a proportionate risk-based compliance monitoring program.
- Taking ownership of incoming and outgoing compliance due diligence assessments to and from key potential partners, suppliers and customers.
- Collating and analysing management information and delivering compliance reports to senior management and other relevant stakeholders.
- Preparing and delivering engaging, relevant and practical training on compliance topics across all teams.
- Ensuring regulatory updates are shared across the business and assisting with the design and implementation of any resulting change initiatives.
- Supporting the General Counsel and other business teams with ad-hoc projects, including occasionally taking on tasks outside a traditional compliance remit.
Key Requirements
- You must have a minimum of 5 years' compliance experience within financial services.
- You must have deep working knowledge of the FCA handbook and MiFID requirements.
- Strong regulatory knowledge.
About MERJE Ltd