Compliance Policy Officer

Redmayne Bentley LLP; Deutschland; Hybrid; EUR 70.000 - 110.000; Vollzeit

Benefits dieser Stelle

Pension Scheme

Private Medical Insurance

Employee Assistance Programme

Travel Loans and Cycle to Work

Reward and Recognition Schemes

Hybrid Working Group

Life Assurance

Generous Family Leave Entitlements

Zusammenfassung

Redmayne Bentley LLP is seeking a Senior Compliance Policy Officer to lead regulatory policy and ensure embedding of requirements across the business. You will work with senior stakeholders to interpret changes and maintain robust compliance governance within a growing investment management and stockbroking group.

The role emphasizes strategic thinking, integrity, and collaboration, with responsibilities spanning horizon scanning, policy development, and advisory support to executives and boards.

Qualifikationen

• Holds at least CISI Level 3 Investment Operations Certificate.
• Holds, or is willing to complete CISI Level 6 Compliance Diploma, or equivalent Compliance qualification, within 2 years of employment.
• At least 3 years' compliance experience within an investment management, stockbroking, or financial services firm.
• Demonstrable experience advising Executive Boards or senior leadership on regulatory policy.
• Track record of leading policy frameworks and embedding them into operational processes.
• Evidence of continuous professional development.
• Detailed, and current, technical knowledge of the FCA Handbook, MiFID II, MAR, SMCR, AML, and other regimes.

Aufgaben

• Providing regulatory advice to the business, acting as a subject matter expert on policy.
• Ownership of the firm's compliance policy framework.
• Leading on regulatory horizon scanning and anticipating upcoming regulatory changes.
• Providing regular updates and change impact assessments for the Director of Regulation.
• Engaging proactively with internal and external stakeholders to support our culture of compliance.

Kenntnisse

Regulatory expertise

Stakeholder management

Policy development

Leadership

Regulatory horizon scanning

Jobbeschreibung

As a Senior Compliance Policy Officer, you'll be working within our dedicated Compliance team to help the firm meet the requirements of the FCA and other relevant regulators. As a senior colleague, you will be heavily involved in the business-critical implementation of the key policy and financial crime controls for the firm. Working in partnership with senior departmental and firm-wide stakeholders, you would be a senior source of knowledge and advice and play a vital role in ensuring that regulatory developments are anticipated, interpreted, and embedded into our business operations. You will also be a key bridge between regulators, internal governance bodies, and the wider firm, ensuring our policy efforts are effective and commercially sensitive. Your key responsibilities will be:

• Providing regulatory advice to the business, acting as a subject matter expert on policy.
• Ownership of the firm's compliance policy framework.
• Leading on regulatory horizon scanning and anticipating upcoming regulatory changes.
• Providing regular updates and change impact assessments for the Director of Regulation.
• Engaging proactively with internal and external stakeholders to support our culture of compliance.

This role is ideal for someone who is analytical, thorough and enjoys seeing things through to completion. You will be in a critical role within the firm, so we are looking for someone with great integrity, honesty and a commitment to doing things by the book. Further specific details about the role can be found in the job description attached to this advert., Redmayne Bentley provides support for colleagues to achieve industry standard qualifications, if that is something they wish to do.

Qualifications

• Holds at least CISI Level 3 Investment Operations Certificate
• Holds, or is willing to complete CISI Level 6 Compliance Diploma, or equivalent Compliance qualification, within 2 years of employment.
• At least 3 years' compliance experience within an investment management, stockbroking, or financial services firm.
• Demonstrable experience advising Executive Boards, or senior leadership on regulatory policy.
• Track record of leading policy frameworks and embedding them into operational processes.
• Evidence of continuous professional development., Detailed, and current, technical knowledge of the FCA Handbook, MiFID II, MAR, SMCR, AML, and other relevant regimes.
• Self-sufficient and self-motivated, with a proactive attitude.
• Proven ability to interpret, distil, and apply regulatory requirements to complex investment and stockbroking activities.
• Excellent communication and influencing skills, with experience engaging and influencing senior stakeholders and Boards.
• Strategic thinker who can anticipate regulatory risks and opportunities.
• Proven leadership in policy development, regulatory engagement, and compliance governance.
• High integrity and commitment to maintaining the firm's reputation and regulatory standing.
• A team player who collaborates and encourages others.

What does the future look like? Once you are settled into the role and develop your skills and experience further through CPD and other development opportunities.

At Redmayne Bentley, our goal is to provide excellent personal investment services that enhance clients' wealth. It is an exciting time to be part of our firm, having recently launched our new five-year business plan to improve, grow and accelerate. We will achieve this through seeking operational and productivity improvements, growing the investment management and financial planning services, leveraging and protecting existing income lines and considering new acquisition opportunities. As one of the UK's largest independent investment management and stockbroking firms, we are committed to building a modern and diverse workplace where our people are offered unique opportunities to learn, grow and develop across the financial sector. Our friendly, inclusive and collaborative environment rewards hard work with generous perks and benefits, and we are genuinely committed to your wellbeing through our industry commended &You wellbeing framework. Our future looks more exciting than ever, come and share it with us.

Our Values

Our core values are at the heart of everything we do:

Our Benefits

We are always continuing to improve our employee benefits to support our employees' lifestyles, provide more flexibility and to reward and recognise excellence.

• Pension Scheme
• Private Medical Insurance
• Employee Assistance Programme
• Travel Loans and Cycle to Work
• Reward and Recognition Schemes
• Hybrid Working Group
• Life Assurance
• Generous Family Leave Entitlements