MERJE Ltd jobs

MERJE are delighted to be supporting a member owned, niche lending business with a loyal regional customer base and a business that has thrived in Yorkshire for well over 100 years as they look to appoint a Chief Risk Officer. Reporting to the Chief Executive and Chair of the Risk Committee, you will lead the risk and compliance team and be responsible for the oversight and maintenance of the risk management framework, compliance oversight, financial crime and data protection holding SMF 4, 16 and 17. The business operate a very flexible hybrid working policy with 2 days required in the office per week. Key deliverables of the role: - Responsibility to shape, communicate and deliver an appropriate and effective risk and compliance management framework. - Oversee the identification, assessment, monitoring and reporting of all material risks. - Maintain a robust independent second line of defence and secure effective third line of defence arrangements, aligned to the key risks of the organisation, providing effective challenge to management where appropriate. - Key Primary risk categories are strategic, credit, conduct, operational (inc. Technology and people), financial and legal/regulatory. - Support the Chair of Risk in delivering an effective quarterly Board Risk Committee, ensuring clear, concise reporting and management information focussed on key risk areas, to enable effective decision making. - Overall responsibility for the firm's policies and procedures for countering the risk that the firm might be used to further financial crime, including Money Laundering. - Oversee and manage the annual compliance and risk review workplan, agreed with the Risk Committee. - Chair of the Executive Risk and Executive Retail Credit Risk Committees. - Lead, motivate and develop the risk and compliance team. Knowledge and Experience: - Significant experience within risk, compliance, audit or governance functions in financial services, preferably savings, mortgages and / or lending. - Previous SMF experience desirable. - Strong understanding of the regulatory framework applicable to banks, building societies or other regulated deposit-taking institutions. - Strong knowledge of prudential, conduct and financial crime regulation. - Experience engaging with Boards, senior executives and regulators - Proven track record in designing and implementing risk management strategies, policies, and frameworks. - In-depth knowledge of regulatory requirements and best practices related to risk management in the financial sector (mortgage lending and retail savings being key).

A well-established and highly respected independent financial planning firm is looking to appoint an experienced Financial Planner to join its growing team. With a strong reputation built on long-standing client relationships and referrals, this is an excellent opportunity to inherit a quality client bank while continuing to develop new business through warm introductions and professional connections. The Role You'll provide holistic financial planning advice to a portfolio of existing clients, helping them achieve their long-term financial objectives across pensions, investments, protection and retirement planning. You'll work closely with an experienced support team, allowing you to focus on delivering outstanding client outcomes while building trusted, long-term relationships. Key Responsibilities - Provide holistic financial planning advice to new and existing clients. - Manage and develop an established portfolio of clients. - Build long-term relationships through regular reviews and ongoing service. - Identify opportunities to grow client relationships through referrals and additional planning needs. - Work collaboratively with paraplanners and administrators to deliver an excellent client experience. - Ensure all advice is delivered in line with FCA regulations and internal compliance standards. About You - Level 4 Diploma in Financial Planning (essential). - Previous experience as a Financial Planner / Independent Financial Adviser. - Strong technical knowledge across pensions, investments and protection. - Excellent relationship-building and communication skills. - A client-first approach with a genuine passion for delivering high-quality advice. - Self-motivated with the ability to manage your own workload effectively. What's on Offer? - Competitive basic salary. - Performance-related commission structure. - Existing client bank to service. - Dedicated paraplanning and administrative support. - Opportunity to join a well-established, growing independent advice firm with an excellent reputation. - Long-term career progression within a supportive and collaborative environment. If you're an experienced Financial Planner looking to join a firm with an excellent reputation, high-quality clients and genuine long-term career prospects, we'd be keen to speak with you in confidence.

We're working with a well-established and highly regarded financial planning business that is looking to appoint a Compliance Manager on an initial 12-month fixed-term contract to support the business through an exciting period of growth. This is an excellent opportunity to join a collaborative, values-led organisation where compliance is viewed as a genuine business partner. You'll work closely with senior stakeholders, helping to shape and strengthen the firm's compliance framework while supporting a positive compliance culture across the business. The Role: As Compliance Manager, you'll play a key role in ensuring the business continues to meet its regulatory obligations and industry best practice. Your responsibilities will include: - Conducting compliance monitoring reviews, file reviews and thematic testing - Providing day-to-day regulatory advice and guidance to the business - Supporting the development and maintenance of compliance policies and procedures - Monitoring regulatory developments and assessing their business impact - Assisting with regulatory reporting and management information - Reviewing complaints and supporting investigations into compliance breaches - Carrying out compliance risk assessments and recommending improvements - Delivering compliance training and promoting a strong compliance culture - Preparing reports for senior management and Board-level committees About You: We're keen to speak with candidates who have: - Level 4 Diploma in Financial Planning (or equivalent) - essential - Previous experience in a Compliance Manager or senior compliance role within wealth management or financial advice - Strong knowledge of FCA regulation and financial advice standards - Experience conducting compliance monitoring, file reviews and risk assessments - Excellent understanding of governance, compliance frameworks and regulatory requirements - Strong communication skills with the ability to build relationships across the business - A practical, solutions-focused approach to compliance Applicants must be located and eligible to work in the UK without sponsorship. Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website. If you would like this job advertisement in an alternative format, please contact MERJE directly.

MERJE are thrilled to be partnering with one of the UK's largest asset management firms as they look to expand their Advisory capability with the addition of a Compliance Manager to report to and support the Head of Compliance & MLRO. Located in central Leeds, the firm offer a hybrid working policy alongside an excellent benefits package and very competitive base salary. Purpose of the role: The Compliance Manager (Advisory) provides appropriate challenge to the business and senior leadership in respect of regulatory risks, and compliance with designated regulation and/or legislation, as well as overseeing that associated policies, procedures and controls are in place and operated. The role holder provides expert advice on regulations and regulatory change, in support of our business operations and strategic initiatives. The manager more generally supports the Head of Compliance and MLRO, in ensuring that effective compliance oversight is planned, performed and reported, and for providing associated ongoing guidance and support to the business. Responsibilities - Provide practical compliance advisory support to the business across FCA regulatory requirements, including COBS, SYSC, COLL, FUND, AIFMD and CASS. - Act as a trusted adviser to the first line, delivering timely and commercially focused regulatory guidance on business activities and change initiatives. - Support regulatory input into new products, fund launches, strategic initiatives and business change programmes, ensuring regulatory risks are identified and managed throughout the project lifecycle. - Monitor and interpret UK regulatory developments, assessing business impact and communicating regulatory changes to key stakeholders. - Advise on regulatory requirements relating to investment management activities, governance and operational processes. - Prepare high-quality compliance reports and papers for senior management, governance forums and Board committees. - Design and deliver compliance training to promote regulatory awareness and strengthen the firm's compliance culture. - Build and maintain positive relationships with regulators, auditors, depositaries and key internal stakeholders. Candidate requirements - Experience providing expert advice on regulatory compliance and conduct matters, within an investment management company, or equivalent. - Experience of a management role, maintaining/overseeing effective compliance and conduct-related control frameworks at a regulated investment manager/asset owner, or equivalent experience. - Good awareness of regulatory, conduct, financial crime, and market abuse issues, and how they can impact financial services companies.