Senior Compliance Policy Officer

MERJE Ltd; Leeds; On-site; GBP 60,000 - 80,000; Full time

Job summary

A well-known investment firm in Leeds is seeking a Senior Compliance Policy Officer to oversee and shape the compliance framework within the organization. The role involves providing expert advisory support to management and ensuring compliance policies are operationally effective. Candidates should have experience in regulatory compliance and a solid understanding of FCA requirements. This position plays a strategic role in embedding regulatory developments into the business model.

Responsibilities

• Act as a senior advisor on compliance policy interpretation.
• Provide challenge and guidance for business initiatives.
• Serve as a subject matter expert for regulators and auditors.
• Own and maintain the compliance policy framework.
• Lead reviews and approvals through governance committees.

Job description

Senior Compliance Policy Officer

Role Purpose

MERJE have partnered with a well known 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.

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