Financial Services Regulatory Specialist

7 days ago


Manchester, United Kingdom AJ Bell Management Limited Full time

We are recruiting a Risk Management Compliance Officer to help ensure continued compliance in a highly regulated environment.

This role is part of the Risk & Compliance function, responsible for undertaking thematic and regular reviews to ensure regulatory compliance and good consumer outcomes. The successful candidate will collaborate with stakeholders to drive positive change and embed good consumer outcomes.

Main Responsibilities
  • Carry out reviews in line with the Compliance Monitoring Plan, focusing on risk controls, GDPR considerations, and effectiveness of risk controls.
  • Work collaboratively with stakeholders 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 AJ Bell

AJ Bell is one of the leading investment platform businesses in the UK, offering a range of solutions for financial advisers and DIY investors. Our award-winning platform caters for everyone, from professionals to those with little investing experience.

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


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