Senior Compliance Policy Officer

7 days ago

Leeds, Leeds, United Kingdom MERJE Full time £60,000 - £90,000 per year

Role Purpose

MERJE have partnered with a well know firm within the investments and stockbroking sector as they seek to add a Senior Compliance Policy Officer to an established Compliance team.

This position will play a strategic role in shaping, advising on, and overseeing the firm's compliance framework, ensuring that regulatory developments are anticipated, interpreted, and embedded into the business model, while providing expert advisory support to senior management, client facing executives and back-office departments.

This individual acts as a key bridge between regulators, internal governance bodies, and the business, ensuring that compliance policy is not only documented but also operationally effective and commercially balanced.

Responsibilities

  • Act as a senior advisor to the business on compliance policy interpretation and application, in relation to FCA and other regulatory requirements.
  • Provide challenge and guidance to ensure strategic business initiatives align with regulatory expectations.
  • Serve as a subject matter expert in discussions with regulators, auditors, and industry bodies.
  • Own the firm's compliance policy framework, ensuring it is comprehensive, up to date, and aligned with best practice.
  • Lead policy reviews and approvals through governance committees and the Board.
  • Ensure policies are operationalised across business areas and embedded in day-to-day processes.
  • Lead regulatory horizon scanning and impact analysis of upcoming regulatory developments.
  • Translate complex regulatory change into strategic recommendations for the firm.

Candidate requirements

  • Holds at least CISI Level 3 Investment Operations Certificate.
  • Holds, or is willing to complete CISI Level 6 Compliance Diploma, or equivalent Compliance qualification.
  • Compliance experience within an investment management, stockbroking, wealth management firm.
  • Demonstrable experience advising Executive Boards, or senior leadership on regulatory policy.
  • Track record of leading policy frameworks and embedding them into operational processes.
  • Detailed, and current, technical knowledge of the FCA Handbook, MiFID II, MAR, SMCR, AML, and other relevant regimes.
  • Proven ability to interpret, distil, and apply regulatory requirements to complex investment and stockbroking activities.

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