Senior Compliance Manager

2 weeks ago

Portishead, North Somerset, United Kingdom AJ Bell Full time

As a Senior Compliance Manager youll be pivotal in ensuring AJ Bell continues to meet its regulatory obligations embedding best practices and delivering proactive compliance strategies. This role offers the opportunity to lead key compliance functions drive businesswide regulatory initiatives and nurture the growth of a high performing compliance team.

What are the key responsibilities

  • Maintain and enhance Horizon Scanning processes to monitor anticipate and manage regulatory developments and their potential impacts.
  • Manage and develop the Senior Managers & Certification Regime (SM&CR) arrangements to ensure full regulatory compliance.
  • Oversee the compliance policy framework ensuring timely updates relevance and alignment with regulatory requirements.
  • Ensure accurate preparation and submission of regulatory returns in line with reporting obligations.
  • Provide expert compliance guidance across groupwide projects embedding regulatory considerations from inception through delivery.
  • Manage compliancerelated computerbased training (CBT) and attestation processes to foster compliance awareness and adherence.
  • Produce insightful reports and recommendations for governance forums supporting decisionmaking at the senior leadership level.
  • Serve as an escalation point for complex compliance queries delivering practical and compliant resolutions.
  • Identify and escalate material compliance issues to the Head of Compliance with detailed impact assessments and recommended actions.
  • Regularly review and enhance core compliance processes to ensure they remain effective and fit for purpose.
  • Maintain and improve the compliance risk and controls register to support robust risk management and monitoring activities.
  • Lead and develop direct reports fostering a culture of technical excellence collaboration and professional growth.

What youll have:

Competence

  • Proven experience in a senior compliance role within financial services ideally in platforms or asset management. 
  • Demonstrated success in managing coaching and developing highperforming teams. 
  • Strong project management abilities with a track record of delivering complex regulatory initiatives. 
  • Exceptional analytical skills with the ability to assess risk interpret regulations and provide clear actionable advice. 

Knowledge & Skills

  • Deep understanding of UK financial services regulations particularly within platforms and investment services. 
  • Experience in designing implementing and maintaining compliance processes for efficiency and scalability. 
  • Strong interpersonal skills with the ability to build relationships and influence across internal and external stakeholders. 
  • Excellent written and verbal communication skills with the ability to present complex information in a clear and concise manner. 
  • A meticulous approach to ensuring accuracy and compliance across all responsibilities. 
  • Resilient and adaptable in a fastpaced regulatory environment capable of navigating change with ease. 

About us:

AJ Bell is one of the fastestgrowing investment platform businesses in the UK offering an awardwinning range of solutions that caters for everyone from professional financial advisers to DIY investors with little to no experience. We have over 561000 customers using our awardwinning platform propositions to manage assets totalling more than 89.5 billion. Our customers trust us with their investments and by continuously striving to make investing easier we aim to help even more people take control of their financial futures.

Having listed on the Main Market of the London Stock Exchange in December 2018 AJ Bell is now a FTSE 250 company.

Headquartered in Manchester with offices in central London and Bristol we now have over 1450 employees and have been named one of the UKs Best 100 Companies to Work For for six consecutive years and in 2024 named a Great Place to Work.

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

What we offer:

  • Competitive starting salary 
  • Generous holiday allowance of 27 days increasing up to 31 days with length of service
  • Holiday buy and sell scheme
  • A choice of pension schemes with matched contributions up to 8%
  • Discretionary bonus scheme
  • Annual free share awards scheme
  • Buy As You Earn (BAYE) Scheme
  • Health Cash Plan provided by SimplyHealth
  • Discounted private healthcare scheme and dental plan
  • Free gym membership
  • Employee Assistance Programme
  • Bike loan scheme
  • Sick pay pledge
  • Enhanced maternity paternity and shared parental leave
  • Loans for travel season tickets
  • Death in service scheme
  • Paid time off for volunteer work
  • Charitable giving opportunities through salary sacrifice
  • Calendar of social events including monthly payday drinks annual Christmas party summer party and much more
  • Personal development programmes built around you and your career goals including access to personal skills workshops
  • Ongoing technical training
  • Professional qualification support
  • Talent development programmes
  • Peer recognition scheme with rewards including restaurant and shopping vouchers or time off
  • Monthly leadership breakfasts and lunches
  • Casual dress code
  • Access to a range of benefits from our sponsorship deals

Hybrid working:

At AJ Bell our people are the heart of our culture. We believe in building strong connections by working together. Thats why we offer a hybrid working model where youll spend a minimum of 50% of your working time per month in the office. For new team members an initial period will be fulltime in the office to help you immerse yourself in our business and build valuable relationships with your colleagues.

AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.

We do not discriminate on the basis of race sex gender identity sexual orientation age pregnancy religion physical and mental disability marital status and any other characteristics protected by the Equality Act 2010. All decisions to hire are based on qualifications merit and business need.

If you like the sound of the above or just want to know more about the company and the role wed love to speak to you.

Remote Work :

No

Employment Type :

Fulltime

Key Skills
Compliance Management,Risk Management,Financial Services,PCI,Banking,Cost Accounting Standards,Quality Systems,Research Experience,NIST Standards,Securities Law,SOX,ISO 27000
Experience: years
Vacancy: 1

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