Compliance Policy Consultant

We're currently recruiting a Compliance Policy Consultant to support the Compliance function by providing advisory support to the business. 

Currently a hybrid working environment with time spent working from home and in the office.

What does the job involve?

  • Provide regulatory support and guidance to all areas of the business.
  • Monitor regulatory developments from the FCA including consultations and other public notices issued by FCA.
  • Prepare regulatory summaries for the executive management team and other key areas of the business regarding regulatory developments.
  • Conduct analysis of FCA regulatory changes, including how they impact different parts of AJ Bell and disseminate to the relevant business areas.
  • Support the Compliance Policy Manager with responses to FCA consultations.
  • Monitor websites from trade associations e.g. TISA, WMA to keep up-to-date with industry matters.
  • Represent the compliance function by participating in business project teams as required and highlighting compliance issues and regulatory or conduct risks.
  • Support the Compliance Policy Manager in the implementation and maintenance of the Product Governance framework in line with the FCA new Consumer Duty.
  • Assist with the approval of financial promotions.
  • Write and provide reports in relation to compliance activities to senior management and other stakeholders, committees/bodies as required.
  • Assist the compliance team in meeting its other core responsibilities in relation to support services.

About you:

  • You'll have previous experience and knowledge of compliance in an FCA regulated firm.
  • A degree and / or appropriate professional qualifications (e.g. CISI).
  • Good knowledge and understanding of the FCA handbooks.
  • Good knowledge of the UK regulatory regime and awareness of the wide EU regulatory framework.
  • Experience of dealing with other areas of the business and Senior Management.
  • Good report writing skills.
  • Commercially aware; able to demonstrate an awareness of the business as a whole and the impact of the team’s work on other areas of the business.
  • Good knowledge of MS Office.

About us:

AJ Bell is one of the fastest-growing investment platform businesses in the UK, with over 432,000 customers using our award-winning platform propositions to manage assets totalling more than £68.7 billion. Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.

There are opportunities for growth and professional development for members wanting to progress within their career including induction training and our study support scheme which is part of our benefits package.

At AJ Bell you can expect a friendly working environment with a strong sense of team work, we have a great sense of pride in what we do and this is reflected in our guiding principles.

In return for your hard work you will be entitled to:

  • Competitive starting salary
  • 24 days holiday increasing up to 30 days with service, plus bank holidays
  • Holiday buy/sell scheme
  • Discretionary annual bonus
  • Contributory pension scheme
  • Paid study support for qualifications
  • Enhanced maternity/paternity scheme
  • Bike loan
  • Season ticket loan portal
  • Discounted PMI and Dental
  • Free gym 
  • Free social events
  • Plus much more
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