Senior Compliance Policy Officer
Leeds
£50,000 - £60,000
NJR Recruitment is delighted to be working with a highly respected independent investment management and stockbroking firm, who are looking to appoint an experienced Senior Compliance Policy Officer to join their dedicated Compliance team.
This is a high-profile, business-critical position offering the opportunity to take ownership of the firm's compliance policy framework, advise senior stakeholders and play a key role in shaping how regulatory change is understood and embedded across the organisation.
What's involved?
You'll be at the heart of the firm's regulatory and policy activity, with responsibility for:
" Owning and developing the compliance policy framework
" Leading regulatory horizon scanning and identifying upcoming changes
" Advising senior stakeholders and providing expert regulatory guidance
" Preparing regulatory updates and impact assessments
" Supporting the implementation of key policy and financial crime controls
" Working closely with senior leadership, governance bodies and external stakeholders
" Helping ensure regulatory requirements are translated into practical, commercially focused solutions
" Playing a key role in maintaining a strong culture of compliance across the business
What are we looking for?
We're looking for someone who can operate confidently at a senior level and bring strong technical knowledge together with excellent stakeholder management skills.
You'll ideally have:
" 3+ years' compliance experience within investment management, stockbroking or financial services
" CISI Level 3 as a minimum
" Strong knowledge of the FCA Handbook, MiFID II, MAR, SMCR and AML
" Experience advising Executive Boards and/or senior leadership on regulatory matters
" Proven experience developing and embedding compliance policies
" The ability to interpret complex regulation and turn it into practical business solutions
" Excellent communication, influencing and analytical skills
" A proactive approach to regulatory change and horizon scanning
" High levels of integrity and attention to detail
" A CISI Level 6 Compliance Diploma or equivalent would be advantageous, although support is available for the...
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