Compliance Policy Manager

2 months ago

Manchester, United Kingdom AJ Bell Management Limited Full time
About the Role

AJ Bell Management Limited is seeking a highly skilled Compliance Policy Manager to join our team. As a key member of our Compliance team, you will play a vital role in ensuring that our business operates in accordance with regulatory requirements and industry best practices.

Key Responsibilities
  • Embedding Consumer Duty: Collaborate with the Senior Compliance Manager and key stakeholders to embed Consumer Duty across the business, ensuring that our products and services meet the highest standards of consumer protection.
  • Regulatory Interpretation and Advice: Review and interpret regulations and regulatory developments, providing detailed advice and guidance to first-line areas implementing business changes.
  • Regulatory Awareness and Training: Play an active role in raising regulatory awareness through training in the business, ensuring that all employees understand their roles and responsibilities in complying with regulatory requirements.
  • Product Governance Framework: Assist the Senior Compliance Manager in the enhancement, implementation, and maintenance of the Product Governance framework in line with FCA regulation.
  • Financial Promotions Oversight: Provide oversight to all documentation sign-off, including financial promotions, ensuring that they comply with regulatory requirements.
  • FCA Use of Powers: 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.
  • Compliance Reporting: Assist in the provision of reports and MI in relation to compliance activities to governance committees/bodies as required.
  • CASS Oversight: Provide compliance CASS oversight, attending meetings where required, and assist the CASS Team with any Compliance-related CASS queries.
  • SMCR Oversight: Provide oversight of the maintenance of the Senior Manager and Certification Regime (SMCR) across all levels of the business.
  • Vulnerable Customers: Provide oversight of the Vulnerable Customers (VC) processes and provide support to the business where required.
  • Transaction Reporting and Best Execution: Provide Compliance oversight for all aspects of transaction reporting and best execution activities.
Requirements
  • Compliance Experience: Previous experience and knowledge of compliance in an FCA-regulated firm.
  • FCA Client Money and Asset (CASS) Rules: Understanding of the FCA Client money and asset (CASS) rules.
  • Asset Management and Regulation: Understanding of asset management and associated regulation.
  • Planning and Organisational Skills: Highly effective planning, organisational, and time management skills.
  • Product Knowledge: Knowledge of pension, investment, and stock broking products.
About Us

AJ Bell Management Limited is one of the fastest-growing investment platform businesses in the UK, offering an award-winning range of solutions that cater for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 503,000 customers using our award-winning platform propositions to manage assets totalling more than £80 billion.

We offer a range of benefits, including:

  • Starting Holiday Entitlement: 27 days, increasing up to 31 days with length of service.
  • Holiday Buy and Sell Scheme.
  • Pension Schemes: A choice of pension schemes with matched contributions up to 8%.
  • Discretionary Bonus Scheme.
  • Annual Free Share Awards Scheme.
  • Health Cash Plan: Provided by Medicash.
  • Discounted Private Healthcare Scheme and Dental Plan.
  • Free Gym Membership, with an on-site gym providing a wide range of free classes.
  • Employee Assistance Programme.
  • Sick Pay+ Pledge.
  • Enhanced Maternity, Paternity, and Shared Parental Leave.
  • Discounted Nursery Fees at Kids Planet on Exchange Quay.
  • Loans for Travel Season Tickets.
  • 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.
  • Peer Recognition Scheme, with rewards including restaurant and shopping vouchers or time off.

    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.

    We are an equal opportunities employer and welcome applications from all qualified candidates.

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