Senior Compliance Policy Officer in Leeds

Senior Compliance Policy Officer

Overview

As the Senior Compliance Policy Officer, you will be key member of the Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Playing a key role in the business-critical implementation of the key policies for the business.

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.

Key Responsibilities:

• 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.
• Engaging proactively with internal and external stakeholders to support our culture of compliance.

Experience & Qualifications:

• Previous experience in a similar role within Investment Management or Financial Services

• Minimum holder of CISI Level 3 Investment Operations Certificate

• Willing to complete CISI Level 6 Compliance Diploma, or equivalent Compliance qualification

• Detailed, and current, technical knowledge of the FCA Handbook, MiFID II, MAR, SMCR, AML, and other relevant regimes.