Compliance Partner - Oxford, United Kingdom - MERJE Ltd

MERJE Ltd

Verified Company

Oxford, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

As a Compliance Partner in the business, your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.

The role will involve:

With your own panel of firms, you will review AR bespoke characteristics and behaviours identified by risk assessment as requiring supervision.
You will build strong relationships with AR Principals and work with them to help them achieve effective governance of their AR Firms & Advisers whilst adhering to company standards.
Working with the firm and other business departments, you will identify areas of concern in a firm's current processes, set action plans and agree timescales for these to be rectified.

Key Requirements:

Highlevel of experience within field supervision or compliance monitoring and be a competent assessor for firms and advisers.
You will have experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.
If you would like this job advertisement in an alternative format, please contact MERJE directly._