MERJE
Compliance Officer - Trading Platform
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MERJE is partnering with a leading financial services business to recruit a Compliance Officer 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
- Provide day-to-day compliance advice
- Support Consumer Duty activity and the ongoing assessment of customer outcomes.
- Provide compliance input into new products, services and business developments.
- Undertake thematic reviews and targeted compliance monitoring.
- 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.
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You should have:
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- Broad compliance experience across advisory, conduct, monitoring and/or regulatory change.
- Good knowledge of FCA requirements, including Consumer Duty and financial promotions.
- 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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