Compliance Consultant

AJ BELL BUSINESS SOLUTIONS LIMITED; Salford; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading investment platform company in the UK is seeking a Compliance Policy Consultant to enhance its Compliance team. The candidate will provide regulatory guidance, monitor FCA developments, and support various business units in achieving compliance. A minimum of three years of experience in FCA regulated firms is required, alongside strong report writing and stakeholder engagement skills. The role offers a competitive salary, excellent benefits, and a hybrid working model.

Benefits

Competitive starting salary

Generous holiday allowance

Pension scheme with matched contributions

Discretionary bonus scheme

Health Cash Plan

Free onsite gym

Employee Assistance Programme

Qualifications

• Minimum 3 years experience in compliance in FCA regulated firms.
• Good understanding of FCA Handbooks and UK regulatory regime.
• Experience engaging with senior management.

Responsibilities

• Provide regulatory support and guidance to business areas.
• Monitor regulatory developments through horizon scanning.
• Assist with financial promotions review and approval.

Skills

FCA regulatory compliance knowledge

Report writing

Stakeholder engagement

Analytical thinking

Education

Degree or professional qualifications (CISI)

Job description

Overview

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. They will assist Compliance Management delivering our core compliance frameworks, ensuring these meet business needs and align with regulatory expectations and industry best practice.

Responsibilities

• 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.
• Provide support and training to enable the business to achieve its regulatory obligations, including consumer duty and SMCR requirements.
• 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.

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’ for six consecutive years and 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

• Competitive starting salary
• 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
• Bike loan scheme & Loans for travel season tickets
• Sick pay+ pledge & Death in service scheme
• Enhanced maternity, paternity, and shared parental leave
• Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
• Ongoing technical training
• Professional qualification support

Hybrid working

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