Compliance Policy Manager

We're recruiting a Compliance Policy Manager to support the Senior Compliance Manager in providing input to product governance, product teams, regulatory projects, SMCR and oversight of financial promotions. 

What does the job involve?

  • Review and interpret regulation and regulatory developments, determine potential impact  to business and provide detailed advice and guidance to first line areas implementing business changes.
  • Monitor external developments and changes in industry best practice and provide advice and challenge to the business in the further enhancement of its control environment.
  • Play an active role in raising regulatory awareness through training in the business.
  • Assist the Senior Compliance Manager in the enhancement, implementation and maintenance of the Product Governance framework in line with the FCA new Consumer Duty.
  • Attend allocated Product Team meetings as required and provide input on agreed agenda items relating to compliance and regulatory developments.
  • Represent the Compliance function by participating in business project teams as required and highlighting compliance issues and regulatory or conduct risks.
  • Assist the Compliance Policy Team in meeting its other core responsibilities in relation to advice services.
  • Support other areas of the business with Compliance related issues.
  • Provide oversight to all documentation sign off including financial promotions.
  • Maintain oversight of FCA use of powers of product and financial promotions intervention and report to the business, including attending FCA or other events or seminars as required.
  • Assist in the provision of reports and MI in relation to compliance activities to governance committees/bodies as required.
  • Provide compliance CASS oversight, attending meetings where required, and assist the CASS Team with any Compliance related CASS queries.
  • Attend AJ Bell Investments meetings where required and provide compliance challenge and support.
  • Provide oversight of the maintenance of the Senior Manager and Certification Regime (SMCR) across all levels of the business.
  • Provide oversight of the Vulnerable Customers (VC) processes and provide support to the business where required.
  • Provide Compliance oversight for all aspects of transaction reporting and best execution activities.

What we're looking for:

  • Previous experience and knowledge of compliance in an FCA regulated firm.
  • Degree and / or appropriate professional qualifications
  • Good knowledge and understanding of the FCA Handbook, in particular in relation to the COBS rules and guidance.
  • Understanding of the FCA Client money and asset (CASS) rules.
  • Previous experience managing a team, holding regular 1:1 meetings and provide developmental support where necessary.
  • Good knowledge and understanding of the UK Financial Services regulatory environment.
  • Highly effective planning, organisational and time management skills.
  • Ability to work independently.
  • Effective communication skills, both written and verbal including the ability to communicate effectively and credibly at all levels including with senior management.
  • Tenacity to follow through issues and challenge operational teams at a high level.
  • Good Excel, Powerpoint and Word skills.
  • Good presentational skills.
  • Knowledge of pension, investment and stock broking products.

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
  • 26 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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