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- Tasks: Support compliance frameworks and ensure alignment with regulations while engaging with key stakeholders.
- Company: Join AJ Bell, a fast-growing investment platform and a Great Place to Work®.
- Benefits: Enjoy generous holidays, health plans, and a vibrant work culture with social events.
- Why this job: Make a real impact in compliance while working with a collaborative and supportive team.
- Qualifications: 3+ years in compliance, strong regulatory knowledge, and excellent communication skills.
- Other info: Hybrid working model with opportunities for professional growth and development.
The predicted salary is between 36000 - 60000 £ per year.
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.
What does the job involve? The key responsibilities of the role are as follows:
- 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.
- Assist the Senior Compliance Manager in meeting their other core responsibilities by developing and maintaining procedures to ensure processes are running effectively.
- Provide support and training to enable the business to achieve its regulatory obligations, including consumer duty and SMCR requirements.
- Review the work of more junior members of the team, where required.
- 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.
- Good knowledge of MS Office.
- Effective planning, organisation and time management skills.
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:
- 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.
- Sick pay+ pledge.
- Enhanced maternity, paternity, and shared parental leave.
- Loans for travel season tickets.
- Charitable giving opportunities through salary sacrifice.
- Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more.
- Ongoing technical training.
- Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off.
- Monthly leadership breakfasts and lunches.
- Casual dress code.
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.
Compliance Consultant in Manchester employer: AJ Bell Management Limited
Contact Detail:
AJ Bell Management Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Consultant in Manchester
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, especially those at AJ Bell. Use LinkedIn to connect and engage with them; you never know who might give you a heads-up about job openings or even refer you directly.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. Be ready to discuss how your experience aligns with AJ Bell's needs and how you can contribute to their compliance team.
✨Tip Number 3
Showcase your analytical skills! During interviews, be prepared to provide examples of how you've tackled regulatory changes in the past. This will demonstrate your ability to adapt and thrive in a compliance role.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re genuinely interested in being part of the AJ Bell team.
We think you need these skills to ace Compliance Consultant in Manchester
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Compliance Consultant role. Highlight your relevant experience in FCA regulated firms and how it aligns with the responsibilities listed in the job description.
Showcase Your Skills: Don’t forget to emphasise your report writing skills and knowledge of the FCA Handbooks. We want to see how you can contribute to our compliance frameworks and support the business effectively.
Be Clear and Concise: When writing your application, keep it clear and to the point. Use bullet points where necessary to make it easy for us to read through your qualifications and experiences.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role as quickly as possible!
How to prepare for a job interview at AJ Bell Management Limited
✨Know Your Regulations
Make sure you brush up on the FCA Handbooks and any recent regulatory changes. Being able to discuss these confidently will show that you're not just familiar with compliance but also proactive about staying updated.
✨Prepare Real-World Examples
Think of specific instances where you've successfully navigated compliance challenges in your previous roles. This could be anything from conducting gap analyses to engaging stakeholders. Real examples will make your experience more relatable and impressive.
✨Showcase Your Communication Skills
As a Compliance Consultant, you'll need to present complex information clearly. Practice explaining regulatory concepts in simple terms, as if you were training someone else. This will demonstrate your ability to communicate effectively with various business units.
✨Engage with the Company Culture
AJ Bell values teamwork and a friendly environment. During your interview, express your enthusiasm for collaboration and how you can contribute to their culture. Mention any relevant experiences that highlight your ability to work well in a team setting.