Compliance Policy Lead

1 month ago


Manchester, United Kingdom AJ Bell Management Limited Full time

AJ Bell Management Limited is seeking a skilled Compliance Policy Lead to join their team. This role involves working closely with the Senior Compliance Manager to provide input into product governance, engagement with product teams, regulatory projects, operational change, and oversight of financial promotions.

Key Responsibilities
  • Embedding Consumer Duty across the business through collaboration with stakeholders.
  • Reviewing and interpreting regulation and regulatory developments, determining potential impact on the business, and providing detailed advice and guidance.
  • Monitoring external developments and industry best practices, advising the business on enhancements to its control environment.
  • Raising regulatory awareness through training in the business.

This role requires a strong understanding of compliance in an FCA-regulated firm, including knowledge of CASS rules and asset management regulations. The successful candidate will have effective planning, organisational, and time management skills, as well as experience with pension, investment, and stock broking products.

What We Offer
  • Starting salary: £60,000 - £80,000 per annum, depending on experience.
  • Holiday entitlement: 27 days, increasing up to 31 days with length of service.
  • Discretionary bonus scheme.
  • Annual free share awards scheme.
  • Pension scheme with matched contributions up to 8%.


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