Compliance Consultant

We're now looking for a Compliance Policy Consultant to join our collaborative and high-performing Compliance team. The Compliance Policy Consultant will play an important role for AJ Bell. Theywill assist Compliance Management delivering our core compliance frameworks, ensuring these meet business needs and align with regulatory expectations and industry best practice. What does the job involve? Provide regulatory support and guidance to all areas of the business. Monitor regulatory developments from the FCA and other regulators through horizon scanning, including Consultation Papers, Policy Statements, and other public notices. Prepare and present regulatory summaries for key areas of the business regarding regulatory developments. Provide in depth analysis of FCA regulatory changes, including how they impact the different parts of AJ Bell and then distribute to the relevant business areas. Work with the business units to agree and monitor delivery of actions in relation to gap analyses and impact assessments. Proactively engage key stakeholders and support the Senior Compliance Manager with responses to FCA consultations. Monitor websites from trade associations e.g. TISA, PIMFA to keep up-to-date with industry matters. Represent the compliance function by participating in business project teams as required and highlighting compliance issues and regulatory or conduct risks. Assist with the review and approval of financial promotions and provide challenge to the business where required. Assist the Senior Compliance Manager in meeting their other core responsibilities by developing and maintaining procedures to ensure processes are running effectively. Provide support and training to enable the business to achieve its regulatory obligations, including consumer duty and SMCR requirements. Review the work of more junior members of the team, where required. Proactively look for improved ways of working and drive change within the Compliance department. What you'll bring At least 3 years' previous experience and knowledge of compliance in an FCA regulated firm. Degree and / or appropriate professional qualifications (e.g. CISI) is desirable. Good knowledge and understanding of the FCA Handbooks. Good knowledge of the UK regulatory regime and some awareness of global regulatory trends. Experience of dealing with other areas of the business and Senior Management. Good report writing skills. Commercially aware; able to demonstrate an awareness of the business as a whole and the impact of the team's work on other areas of the business. Good knowledge of MS Office. Effective planning, organisation and time management skills. About us AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 644,000 customers using our award-winning platform propositions to manage assets totalling more than £103.3 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures. Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company. Headquartered in Manchester with offices in central London and Bristol, we now have over 1,500 employees and have been named one of the UK's 'Best 100 Companies to Work For' forsix consecutive yearsand in 2024 named a Great Place to Work . At AJ Bell you can expect a friendly working environment with a strong sense of teamwork, we have a great sense of pride in what we do, and this is reflected in our guiding principles. What we offer Generous holiday allowance of 25 days, increasing up to 31 days with length of service Holiday buy and sell scheme A choice of pension schemes with matched contributions up to 6% Discretionary bonus scheme Annual free share awards scheme Buy As You Earn (BAYE) Scheme Health Cash Plan - provided by SimplyHealth Discounted private healthcare scheme and dental plan Free onsite gym Employee Assistance Programme Sick pay+ pledge Enhanced maternity, paternity, and shared parental leave 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 Ongoing technical training Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off Monthly leadership breakfasts and lunches Casual dress code At AJ Bell, our people are the heart of our culture. We believe in building strong connections by working together. That's why we offer a hybrid working model, where you'll spend a minimum of 50% of your working time per month in the office. For new team members, an initial period will be full‑time in the office to help you immerse yourself in our business and build valuable relationships with your colleagues. AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work. #J-18808-Ljbffr