Senior Compliance Policy Officer

Redmayne Bentley; Leeds; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A financial services firm in Leeds is seeking a Senior Compliance Policy Officer to ensure compliance with FCA regulations. The ideal candidate should have extensive knowledge in compliance and regulatory policies, strong analytical skills, and at least 3 years of experience in financial services. This role offers hybrid working options and opportunities for professional development.

Benefits

Support for industry-standard qualifications

Flexible working arrangements

Qualifications

• At least 3 years of compliance experience within an investment management or financial services firm.
• Demonstrable experience advising senior leadership on regulatory policy.
• Evidence of continuous professional development.

Responsibilities

• Providing regulatory advice, acting as a subject matter expert.
• Ownership of the firm's compliance policy framework.
• Leading regulatory horizon scanning and change impact assessments.

Skills

Detailed knowledge of FCA Handbook

Excellent communication skills

Strategic thinking

Proactive attitude

Leadership in policy development

Education

CISI Level 3 Investment Operations Certificate

CISI Level 6 Compliance Diploma (or equivalent)

Job description

Hours per Week

37.5

Work Pattern

8.00am – 4.30pm / 8.30am – 5.00pm (typical)

Contract

Permanent

Hybrid Working

Available after 2 months (up to 2 days WFH per week)

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.

What we’re looking for

Qualifications & Experience

• 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.

Skills And Attributes

• 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, you will be able to take on more responsibility within the team and develop your skills and experience further through CPD and other development opportunities.

Redmayne Bentley provides support for colleagues to achieve industry standard qualifications, if that is something they wish to do.