Regulatory Affairs Consultant

We’re now looking for a Compliance Policy Consultant to join our collaborative and high-performing Compliance team.
The Compliance Policy Consultant will play an important role for AJ Bell. They will assist Compliance Management delivering our core compliance frameworks, ensuring these meet business needs and align with regulatory expectations and industry best practice.
Provide regulatory support and guidance to all areas of the business.
Monitor regulatory developments from the FCA and other regulators through horizon scanning, including Consultation Papers, Policy Statements, and other public notices.
Prepare and present regulatory summaries for key areas of the business regarding regulatory developments.
Provide in depth analysis of FCA regulatory changes, including how they impact the different parts of AJ Bell and then distribute to the relevant business areas.
Work with the business units to agree and monitor delivery of actions in relation to gap analyses and impact assessments.
Proactively engage key stakeholders and support the Senior Compliance Manager with responses to FCA consultations.
Monitor websites from trade associations e.g. Represent the compliance function by participating in business project teams as required and highlighting compliance issues and regulatory or conduct risks.
Assist with the review and approval of financial promotions and provide challenge to the business where required
Assist the Senior Compliance Manager in meeting their other core responsibilities by developing and maintaining procedures to ensure processes are running effectively.
Provide support and training to enable the business to achieve its regulatory obligations, including consumer duty and SMCR requirements.
Proactively look for improved ways of working and drive change within the Compliance department.
At least 3 years’ previous experience and knowledge of compliance in an FCA regulated firm.
Good knowledge of the UK regulatory regime and some awareness of global regulatory trends.
Experience of dealing with other areas of the business and Senior Management.
Good report writing skills.
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.
Effective planning, organisation and time management skills.
AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 644,000 customers using our award-winning platform propositions to manage assets totalling more than £103.3 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.
Competitive starting salary
Generous holiday allowance of 25 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 6%
Discretionary bonus scheme
Annual free share awards scheme
Health Cash Plan – provided by SimplyHealth
Discounted private healthcare scheme and dental plan
Free onsite gym
Employee Assistance Programme
Bike loan scheme
Sick pay+ pledge
Enhanced maternity, paternity, and shared parental leave
Loans for travel season tickets
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
Ongoing technical training
Professional qualification support
Talent development programmes
Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
Casual dress code
Hybrid working
We believe in building strong connections by working together. That's why we offer a hybrid working model, where you’ll spend a minimum of 50% of your working time per month in the office. For new team members, an initial period will be full-time in the office to help you immerse yourself in our business and build valuable relationships with your colleagues.