Compliance Specialist

MERJE has partnered with an international law firm and we’re on the lookout for an experienced Compliance professional to join their growing Financial Regulation Compliance team in London.

As a senior member of the team, you should demonstrate proactivity, hands-on engagement, a keenness for learning and progression, and a strong grasp of FS business models and regulatory landscapes.

Some of your responsibilities will include:

• Offering advisory compliance technical assistance to key clients within the financial services sector, while also aiding new market participants and mid-tier clients
• Providing advisory guidance on permissions, governance, conduct rules, and conducting regulatory due diligence to support corporate transactions
• Assisting with PRA and FCA authorization and application processes for various firms
• Engaging in the development of client relationships, marketing efforts, knowledge sharing, and the advancement of practices
• Implementing compliance and risk management frameworks
• Evaluating and recommending enhancements to compliance and risk management systems and controls
• Providing advice on adopting a risk-based approach to diverse regulatory requirements
• Offering technical support regarding regulatory changes, such as crypto regulations, consumer duties, and appointed representatives
• Assisting clients under close regulatory supervision
• Supporting the implementation and initiation phases as clients venture into regulated activities or establish new business sectors

Experience required:

• Regulatory advisory experience including technical knowledge of SMCR, consumer duty, regulatory change
• Previous experience of working in a law firm is advantageous

Skills required:

• Excellent verbal and written communication
• Excellent understanding of the FCA and PRA handbook
• Legal qualification/background is advantageous

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.