Compliance Officer (Advisory)

The Opportunity

MERJE are pleased to be supporting a leading UK Investments business as they look to appoint a Compliance Officer (Advisory) to join the second-line Risk & Compliance function. Reporting to the Head of Compliance and MLRO, you will play an important role in supporting the delivery of effective regulatory compliance oversight, providing guidance to the business and helping to ensure the organisation meets its regulatory obligations.

This is an excellent opportunity for a compliance professional with experience in financial services or investment management who is looking to develop their expertise within a collaborative, purpose-driven organisation.

Key Responsibilities

• Support the provision of day-to-day compliance advice to the business on applicable FCA regulations, including COBS, SYSC, COLL and FUND.
• Assist with the development and maintenance of the Compliance Obligations Register and the identification of regulatory risks.
• Monitor regulatory developments through horizon scanning, maintaining relevant trackers and supporting the business in preparing for regulatory change.
• Support the preparation of papers and materials for Board committees, governance forums and regulatory working groups.
• Assist with regulatory reporting, ensuring submissions are accurate, complete and delivered within required timescales.
• Support breach management processes, including reviewing incidents for regulatory implications, maintaining breach records and preparing management information.
• Support the management of conflicts of interest and other day-to-day compliance matters.
• Help maintain constructive relationships with the FCA, the Depositary and other relevant stakeholders, promoting a strong compliance and conduct culture across the business.

Experience Required

• Experience in a compliance role within a regulated financial services or investment management environment.
• Good knowledge of FCA regulations.
• Experience providing compliance advice, supporting regulatory oversight and assessing compliance risks.
• Understanding of regulatory change, horizon scanning and breach management.
• Exposure to compliance monitoring, regulatory reporting, governance and audit processes.
• Knowledge of investment activities, including best execution, investment due diligence and conflicts of interest, would be advantageous.
• Strong analytical, communication and organisational skills, with the ability to build effective relationships and manage competing priorities.