Compliance Officer - Trading Platform

MERJE; Greater London; On-site; GBP 55,000 - 85,000; Full time

Job summary

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.

You will build relationships across the business, provide pragmatic advice, and assist with breaches, remedial activity and regulatory change projects with a focus on Consumer Duty and FCA requirements.

Qualifications

• Broad compliance experience across advisory, conduct, monitoring and/or regulatory change.
• Good knowledge of FCA requirements, including Consumer Duty and financial promotions.
• Understanding of retail investment or trading products; CFDs or derivatives advantageous.
• Experience advising commercial stakeholders and translating regulation into practical guidance.
• Strong communication and stakeholder management skills.

Responsibilities

• Support Consumer Duty activity and 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.

Skills

Compliance advisory

Regulatory change

Consumer Duty

FCA requirements

Stakeholder management

Communication skills

Job description

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

• 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.

You should have:

• 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.