Compliance and Monitoring Professional

2 weeks ago


Manchester, United Kingdom AJ Bell Management Limited Full time

We are currently seeking a proactive Financial Services Regulatory Specialist to ensure continued compliance in a highly regulated environment.

As part of the Risk & Compliance function, the team is responsible for undertaking in-depth thematic reviews to ensure regulatory compliance and good consumer outcomes. This role involves collaboration with stakeholders to drive positive change and embed good consumer outcomes in line with the Consumer Duty.

Key Responsibilities
  • Carry out reviews in line with the Compliance Monitoring Plan, ensuring rigorous consideration of risk controls, GDPR considerations, and effectiveness of risk controls.
  • Collaborate with stakeholders within Risk & Compliance and business areas to challenge and provide feedback on review findings.
  • Maintain accurate records and documents in compliance with FCA regulations.
  • Monitor staff accounts in accordance with company policies.
About Us

AJ Bell is one of the fastest-growing investment platform businesses in the UK, offering a range of solutions for professional financial advisers and DIY investors. We have over 542,000 customers managing assets totalling more than £86 billion.

Our Perks and Benefits
  • An estimated salary up to £40,000 (dependent on experience) with potential for bonus.
  • Holiday entitlement of 25 days, increasing up to 31 days with length of service.
  • Holiday buy and sell scheme.
  • Pension schemes with matched contributions up to 5%.
  • Annual free share awards scheme.
  • Health Cash Plan – provided by SimplyHealth.
  • Discounted private healthcare scheme and dental plan.
  • Free gym membership with on-site gym providing classes.
  • Employee Assistance Programme.
  • Sick pay+ pledge.
  • Enhanced maternity, paternity, and shared parental leave.
  • Loans for travel season tickets.


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