We are currently looking to recruit a Compliance Policy Manager to join the team. The Compliance policy team purpose is to leverage our relationships and expertise to provide advice, guidance, support and challenge to the business, in order to facilitate safe business growth and help our customers achieve their objectives.

Reporting to the Senior Compliance Manager you will be providing input into the product governance, engagement with product teams, regulatory projects, operational change and oversight of financial promotions. 

What does the job involve?

• Work with the Senior Compliance Manager and key stakeholders to continue embedding Consumer Duty across the business
• Review and interpret regulation and regulatory developments, determine potential impact  to business and provide detailed advice and guidance to first line areas implementing business changes.
• Monitor external developments and changes in industry best practice and provide advice and challenge to the business in the further enhancement of its control environment.
• Play an active role in raising regulatory awareness through training in the business.
• Assist the Senior Compliance Manager in the enhancement, implementation and maintenance of the Product Governance framework in line with FCA regulation.
• Provide oversight to all documentation sign off including financial promotions.
• Maintain oversight of FCA use of powers of product and financial promotions intervention and report to the business, including attending FCA or other events or seminars as required.
• Assist in the provision of reports and MI in relation to compliance activities to governance committees/bodies as required.
• Provide compliance CASS oversight, attending meetings where required, and assist the CASS Team with any Compliance related CASS queries.
• Provide oversight of the maintenance of the Senior Manager and Certification Regime (SMCR) across all levels of the business.
• Provide oversight of the Vulnerable Customers (VC) processes and provide support to the business where required.
• Provide Compliance oversight for all aspects of transaction reporting and best execution activities.

What you'll have

• Previous experience and knowledge of compliance in an FCA regulated firm.
• Degree and / or appropriate professional qualifications
• Good knowledge and understanding of the FCA Handbook, in particular in relation to the Consumer Duty and COBS rules and guidance.
• Understanding of the FCA Client money and asset (CASS) rules.
• Understanding of asset management and associated regulation
• Highly effective planning, organisational and time management skills.
• Ability to build relationships with stakeholders at all levels
• Effective communication skills, both written and verbal including the ability to communicate effectively and credibly at all levels including with senior management.
• Tenacity to follow through issues and challenge operational teams at a high level.
• Good presentational skills.
• Knowledge of pension, investment and stock broking products.

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 503,000 customers using our award-winning platform propositions to manage assets totalling more than £80.3 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 1,400 employees and have been named one of the UK's 'Best 100 Companies to Work For’ for six consecutive years.

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.

Our perks and benefits

• Starting salary of £55,000 - £65,000 DOE
• Starting holiday entitlement of 27 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 8%
• Discretionary bonus scheme
• Annual free share awards scheme
• Buy As You Earn (BAYE) Scheme
• Health Cash Plan – provided by Medicash
• Discounted private healthcare scheme and dental plan
• Free gym membership, with an on-site gym providing a wide range of free classes
• Employee Assistance Programme
• Bike loan scheme
• Sick pay+ pledge
• Enhanced maternity, paternity, and shared parental leave
• Discounted nursery fees at Kids Planet on Exchange Quay
• Loans for travel season tickets
• Death in service scheme
• Paid time off for volunteer work
• Charitable giving opportunities through salary sacrifice
• Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
• Parking at Exchange Quay
• Personal development programmes built around you and your career goals, including access to personal skills workshops
• Ongoing technical training
• Professional qualification support
• Talent management programmes
• Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
• Monthly leadership breakfasts and lunches
• Casual dress code
• Access to a range of benefits from our sponsorship deals

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.

We do not discriminate on the basis of race, sex, gender identity, sexual orientation, age, pregnancy, religion, physical and mental disability, marital status and any other characteristics protected by the Equality Act 2010. All decisions to hire are based on qualifications, merit and business need.

If you like the sound of the above, or just want to know more about the company and the role, we'd love to speak to you.