Regulatory Compliance Officer

4 weeks ago


Manchester, United Kingdom AJ Bell Management Limited Full time

We are seeking a highly skilled Regulatory Compliance Officer to join our team at AJ Bell Management Limited. As a key member of the Risk & Compliance function, you will play a vital role in ensuring our compliance with regulatory requirements in the financial services industry.

About the Role
  • You will be responsible for undertaking in-depth thematic and regular reviews to ensure regulatory compliance and good consumer outcomes.
  • Collaboration and feedback with stakeholders within the business areas is essential for driving positive change.
  • You will maintain all necessary records and documents in accordance with FCA regulations.
  • Maintaining staff accounts in line with company policies is also part of your responsibilities.

What You'll Need

  • Prior experience in a compliance function within an FCA-regulated business would be beneficial.
  • Compliance or quality assurance monitoring and testing experience is required.
  • A working knowledge of the UK regulatory regime and awareness of the wider EU regulatory framework are essential.
  • Legislative knowledge regarding financial crime, including JMLSG guidance on AML requirements and FCA's financial crime prevention requirements, is necessary.
About Us

AJ Bell Management Limited is a leading investment platform business offering award-winning solutions for various customer types, from professional financial advisers to DIY investors. With over 542,000 customers managing assets totalling more than £86bn, we aim to make investing easier and help people take control of their financial futures.

Our Perks and Benefits
  • The starting salary for this role is up to £40,000 per annum, depending on experience.
  • Holiday entitlement starts at 25 days and increases to 31 days with length of service.
  • Holiday buy and sell scheme, pension schemes with matched contributions up to 5%, discretionary bonus scheme, annual free share awards scheme, and Health Cash Plan are available.
  • Free gym membership with on-site gym classes, Employee Assistance Programme, sick pay pledge, enhanced maternity and paternity leave, discounted nursery fees, and charitable giving opportunities through salary sacrifice are offered.

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