Senior Compliance Officer
Senior Compliance Officer
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Job Description
Company:
MercerDescription:
Compliance Lead Officer Private Wealth London
Mercer Private Wealth is seeking a senior Compliance officer to lead the business first line of defence and be the main point of contact dealing primarily with the business interaction with the Mercer 2nd and where appropriate the 3rd lines of defence.
The role principally is to take the lead with Product Governance and Consumer Duty both internally and externally as well as business risk and control tasks.
We will count on you to:
To prepare maintain and manage relevant mappings as required in respect of regulatory change for onward reporting as required.
To be the first point of contact within Mercer Private Wealth for the 2LOD and 3LOD and deal with the business requirements relating to this and/or support the SLT to deal with enquiries.
To prepare and maintain the Mercer Private Wealth risk register on behalf of the Senior Leadership team.
To oversee and maintain the consumer Duty and Product governance frameworks as required by the Mercer Private Wealth SLT participating in relevant committees and ensuring relevant preparation of the papers and MI needed. This will include the maintenance preparation and feedback on the Consumer Duty Dashboard and information relating to Target Market Fair Value and manufacturers information requests.
To act as the Vulnerable Client Champion in MPW and have responsibility for overseeing the aspects of this key role.
To be the contact point for the operations and advice teams on compliance related queries and AML.
What you need to have:
A good level of industry experience ideally gained within supervisory and/or technical compliance role within a financial planning/investment management business
Ability to gather interpret and report at board level on key MI and suggest changes where relevant.
Technical knowledge onf compliance requirements and financial products and ability to manage people.
What makes you stand out:
Financial Services experience and a detailed knowledge and experience of risk control. regulatory matters
An awareness and understanding of current regulatory matters and the ability to implement those whilst maintain a commercial understanding.
Why join our team:
We help you be your best through professional development opportunities interesting work and supportive leaders.
We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues clients and communities.
Our scale enables us to provide a range of career opportunities as well as benefits and rewards to enhance your wellbeing.
Required Experience:
Senior IC
Employment Type
Full-Time
