Senior Compliance Policy Officer

Eames Consulting; Leeds; Hybrid; GBP 50,000 - 60,000; Full time

Job summary

A leading investment management firm in Leeds is seeking a Senior Compliance Policy Officer to provide expert regulatory advice and manage the compliance policy framework. Candidates should have at least 3 years of compliance experience and a CISI Level 3 Investment Operations Certificate. This role offers a salary of up to £60,000 plus bonus and benefits with a hybrid working model.

Benefits

Bonus and benefits

Qualifications

• Minimum 3 years of compliance experience in investment management or financial services.

Responsibilities

• Deliver expert regulatory advice to the business.
• Ensure compliance policy framework is robust and current.
• Identify and anticipate forthcoming regulatory developments.
• Provide regular regulatory updates and change impact assessments.
• Build proactive engagement with stakeholders to promote compliance.

Skills

Regulatory advice

Compliance policy framework management

Regulatory horizon scanning

Stakeholder engagement

Education

CISI Level 3 Investment Operations Certificate

Job description

Job Description

We are currently supporting a rapidly growing Leeds based Investment Manager looking to appoint a Senior Compliance Policy Officer.

Responsibilities :

• Deliver expert regulatory advice to the business, acting as a subject matter authority on compliance policy matters.
• Take ownership of the firm’s compliance policy framework, ensuring it remains robust, current, and aligned with regulatory expectations.
• Lead regulatory horizon scanning activities to identify and anticipate forthcoming regulatory developments and their potential impact.
• Provide regular regulatory updates and detailed change impact assessments to the Director of Regulation.
• Build and maintain proactive engagement with internal and external stakeholders to promote and embed a strong culture of compliance across the organisation.

Requirements :

• Holds at least CISI Level 3 Investment Operations Certificate
• At least 3 years’ compliance experience within an investment management, stockbroking, or financial services firm.

Location : Leeds (hybrid working)

Salary : up to £60,000 (plus bonus & benefits)