Compliance Policy Specialist

2 weeks ago


Manchester, United Kingdom AJ Bell Management Limited Full time
Job Description

We are seeking an experienced Compliance Policy Specialist to join our team at AJ Bell Management Limited. The successful candidate will be responsible for providing input into product governance, engagement with product teams, regulatory projects, operational change, and oversight of financial promotions.

The ideal candidate will have previous experience and knowledge of compliance in an FCA regulated firm, understanding of the FCA Client money and asset (CASS) rules, and knowledge of pension, investment, and stock broking products.

Key Responsibilities:
  • Work with the Senior Compliance Manager and key stakeholders to continue embedding Consumer Duty across the business.
  • Review and interpret regulation and regulatory developments, determine potential impact to business and provide detailed advice and guidance to first line areas implementing business changes.
  • Monitor external developments and changes in industry best practice and provide advice and challenge to the business in the further enhancement of its control environment.
Benefits:
  • A starting salary of £60,000 - £70,000 per annum, depending on experience.
  • Holiday entitlement of 27 days, increasing up to 31 days with length of service.
  • A choice of pension schemes with matched contributions up to 8%.
  • Discretionary bonus scheme.
  • Annual free share awards scheme.


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