Compliance Officer

1 week ago

Manchester, United Kingdom AJ Bell Full time

At AJ Bell, we are committed to delivering positive outcomes for our customers. As a proactive Compliance Monitoring Officer, you will play a vital role in ensuring continued compliance in our highly regulated financial services environment.

Job Description

We are seeking a skilled professional to join our Risk & Compliance team as a Compliance Monitoring Officer. In this role, you will be responsible for undertaking in-depth thematic and regular reviews to ensure regulatory compliance and good consumer outcomes.

  • You will carry out reviews in line with the Compliance Monitoring Plan, evidencing consideration of embedding good consumer outcomes, effectiveness of risk controls, and GDPR considerations.
  • Collaboration, feedback, and challenge with relevant stakeholders within Risk & Compliance and business areas.
  • Maintain records and documents in compliance with FCA regulations.
  • Monitor staff accounts according to company policies.
  • Investigate individual breaches to determine root cause and implement corrective action to prevent recurrence.
  • Maintain gifts and hospitality registers.

What You'll Have

  • Prior experience in a compliance function within an FCA-regulated business is preferred but other sectors considered.
  • Compliance or quality assurance monitoring and testing experience.
  • Working knowledge of the UK regulatory regime and awareness of the wider EU framework.
  • Familiarity with current FCA Handbook, particularly COBS; SYSC; Financial Crime; CASS; MAR; and Consumer Duty.
  • Awareness of legislative frameworks for financial crime, including JMLSG guidance on AML requirements and FCA's financial crime prevention requirements.
About Us

AJ Bell is one of the fastest-growing investment platform businesses in the UK, offering award-winning solutions for various investors. We have over 542,000 customers managing assets worth more than £86.5 billion on our platform propositions.

We offer a range of benefits that cater to different needs, from professional development programs to employee recognition schemes. Our culture prioritizes strong connections and mutual respect among colleagues.

AJ Bell is a FTSE 250 company listed on the Main Market of the London Stock Exchange since December 2018. Our headquarters is located in Manchester, with offices in central London and Bristol.

Benefits
  • Starting salary up to £40,000 (dependent on experience)
  • 25 days' starting holiday entitlement, increasing up to 31 days with length of service
  • Holiday buy and sell scheme
  • A choice of pension schemes with matched contributions up to 5%
  • 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 with classes
  • Employee Assistance Programme
  • Bike loan scheme
  • Sick pay+ pledge
  • Enhanced maternity, paternity, and shared parental leave
  • Discounted nursery fees at Kids Planet on Exchange Quay
  • 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 and annual parties
  • Parking at Exchange Quay
  • Ongoing technical training
  • Professional qualification support
  • Talent management programmes
  • Peer recognition scheme with rewards
  • Monthly leadership breakfasts and lunches
  • Casual dress code
  • Access to benefits from our sponsorship deals
Hybrid Working

We believe in building strong connections among colleagues by working together. Our hybrid working model requires a minimum of 50% office time per month. New team members spend initial periods full-time in the office to immerse themselves in our business and build relationships with colleagues.

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