Risk Management Compliance Officer
4 days ago
AJ Bell is seeking a talented Compliance and Monitoring Professional to join their Risk & Compliance function.
This role involves undertaking thematic and regular reviews to ensure regulatory compliance and good consumer outcomes. The successful candidate will work collaboratively with stakeholders to drive positive change and embed good consumer outcomes in line with the Consumer Duty.
Main Job Responsibilities- Conduct reviews in line with the Compliance Monitoring Plan, focusing on risk controls, GDPR considerations, and effectiveness of risk controls.
- Challenge and provide feedback to stakeholders on review findings.
- Maintain accurate records and documents in compliance with FCA regulations.
- Monitor staff accounts in accordance with company policies.
AJ Bell is a leading investment platform business in the UK, offering a range of solutions for financial advisers and DIY investors. Our award-winning platform provides innovative solutions for everyone, from professionals to those with little investing experience.
Perks and Benefits- Estimated salary up to £40,000 (dependent on experience) with potential for bonus.
- Starting holiday entitlement of 25 days, increasing up to 31 days with length of service.
- Pension schemes with matched contributions up to 5%.
- Health Cash Plan – provided by SimplyHealth.
- Discounted private healthcare scheme and dental plan.
- Free gym membership with on-site gym providing classes.
- Employee Assistance Programme.
- Sick pay+ pledge.
- Enhanced maternity, paternity, and shared parental leave.
- Loans for travel season tickets.
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