Compliance Officer

2 weeks ago


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

We are seeking a highly skilled Compliance Officer to join our team. As a key member of our compliance function, you will be responsible for ensuring that our operations comply with regulatory requirements.

Key Responsibilities:
  • Leading and coordinating external CASS audits, including planning, fieldwork, testing, reporting, and closure.
  • Managing inter-dependencies between CASS and statutory audits.
  • Working closely with external audit teams and internal business areas to ensure audit work is managed efficiently and effectively.
  • Providing regular audit status updates to senior management and stakeholders.
Requirements:
  • Strong understanding of CASS regulations, particularly chapters 6, 7, 8, and 10 of the CASS handbook.
  • Excellent leadership and communication skills.
  • Ability to manage cross-functional teams and coordinate work across different departments.
  • Experience working with Microsoft Office, including Excel, Word, and PowerPoint.
  • Good problem-solving and decision-making skills, with the ability to compile and evaluate data for decision-making.
What We Offer:
  • Estimated salary range: £45,000 - £52,000 per annum, depending on experience.
  • 26 days' annual leave, increasing to 31 days with length of service.
  • Holiday buy and sell scheme.
  • A choice of pension schemes with matched contributions up to 7%.
  • Discretionary bonus scheme.
  • Annual free share awards scheme.
  • Buy As You Earn (BAYE) 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.
  • Parking at Exchange Quay.
  • Personal development programmes built around you and your career goals, including access to personal skills workshops.
  • Ongoing technical training.
  • Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off.
  • Monthly leadership breakfasts and lunches.
  • Casual dress code.
  • Access to a range of benefits from our sponsorship deals.

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