An established financial services organisation is seeking a Compliance Policy Officer to support the development, implementation, and oversight of its compliance framework.
This strategic role will work closely with senior leadership, providing expert regulatory guidance, leading compliance policy initiatives, and ensuring regulatory developments are effectively embedded across the business. The successful candidate will act as a key liaison between the business, governance committees, and regulatory stakeholders while helping to foster a strong culture of compliance.
Key Responsibilities
Regulatory Advisory
- Provide expert advice and guidance on regulatory requirements and compliance policy interpretation.
- Support business initiatives by ensuring alignment with regulatory expectations and industry standards.
- Act as a subject matter expert in engagements with regulators, auditors, and external stakeholders.
Compliance Policy & Governance
- Lead and maintain the firm's compliance policy framework, ensuring policies remain current, effective, and aligned with regulatory developments.
- Manage policy review cycles and governance approvals through relevant committees and senior leadership forums.
- Ensure policies are effectively implemented and embedded into operational processes across the organisation.
Regulatory Change & Horizon Scanning
- Monitor and assess upcoming regulatory developments and industry changes.
- Conduct impact assessments and provide practical recommendations to support business readiness.
- Contribute to regulatory consultations and industry discussions where appropriate.
Reporting & Risk Management
- Prepare regulatory change updates, compliance reports, and risk assessments for senior management.
- Support regulatory reporting and submissions.
- Maintain robust governance records and evidence of compliance decision-making.
Stakeholder Engagement
- Build strong working relationships with senior leaders, operational teams, and business stakeholders.
- Deliver training and awareness initiatives on compliance and regulatory matters.
- Collaborate with external advisers and industry professionals to promote best practice.
Experience & Qualifications
- Minimum 3 years' compliance experience within investment management, wealth management, stockbroking, or wider financial services.
- Experience advising senior leadership teams and governance committees on regulatory matters.
- Proven track record of developing and implementing compliance policies and frameworks.
- CISI Level 3 Investment Operations Certificate (or equivalent).
- CISI Level 6 Compliance Diploma (or equivalent) preferred, or willingness to work towards completion.
Knowledge & Skills
- Strong technical knowledge of FCA regulations, MiFID II, Market Abuse Regulation (MAR), SMCR, AML requirements, and related regulatory frameworks.
- Ability to interpret complex regulatory requirements and translate them into practical business solutions.
- Excellent communication, stakeholder management, and influencing skills.
- Strong analytical and strategic thinking capabilities.
- High levels of integrity, professionalism, and attention to detail.
- Ability to balance regulatory obligations with commercial objectives.
- Collaborative approach with a commitment to fostering a positive compliance culture.