Regulatory Compliance Manager
4 days ago
AJ Bell Management Limited is seeking a Regulatory Compliance Manager to lead our efforts in ensuring adherence to regulatory requirements and maintaining our position as a market leader in the UK's financial services sector.
You will oversee the development and implementation of our internal controls framework, fostering a culture of compliance and risk awareness across the organization. Effective stakeholder management and strategic planning will be key components of this role.
About UsOur investment platform provides innovative solutions to empower individuals, firms, and institutions to make informed investment decisions. We take pride in building strong connections with our customers, partners, and stakeholders, promoting trust and transparency throughout our operations.
Key Responsibilities- Develop and implement an effective internal controls framework, addressing regulatory requirements and mitigating operational risks.
- Collaborate with cross-functional teams to establish and maintain compliant processes, including audit and assurance activities.
- Oversee compliance monitoring, evaluation, and reporting, ensuring alignment with relevant regulations and standards.
- Liaise with external auditors, regulators, and other stakeholders to ensure seamless communication and resolution of any concerns.
- Conduct training and awareness programs to promote a culture of compliance and risk management.
- Minimum 5 years of experience in a related field, preferably in financial services or a regulated industry.
- Strong understanding of regulatory frameworks and risk management principles.
This role comes with a competitive salary of up to £65,000 per year, commensurate with experience. Our comprehensive benefits package includes flexible working arrangements, opportunities for career growth, and access to ongoing training and development programs.
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