Senior Compliance Policy Officer
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Job Location:
Monthly Salary:
Posted on:
30+ days ago
Vacancies:
1 Vacancy
Job Summary
| Hours per Week | 37.5 |
| Work Pattern | 8.00am 4.30pm / 8.30am 5.00pm (typical) |
| Contract | Permanent |
| Hybrid Working | Available after 2 months (up to 2 days WFH per week) |
As a Senior Compliance Policy Officer youll be working within our dedicated Compliance team to help the firm meet the requirements of the FCA and other relevant regulators. As a senior colleague you will be heavily involved in the business-critical implementation of the key policy and financial crime controls for the firm.
Working in partnership with senior departmental and firm-wide stakeholders you would be 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.
You will also be a key bridge between regulators internal governance bodies and the wider firm ensuring our policy efforts are effective and commercially sensitive.
Your key responsibilities will be:
- Providing regulatory advice to the business acting as a subject matter expert on policy.
- Ownership of the firms compliance policy framework.
- Leading on regulatory horizon scanning and anticipating upcoming regulatory changes.
- Providing regular updates and change impact assessments for the Director of Regulation.
- Engaging proactively with internal and external stakeholders to support our culture of compliance.
This role is ideal for someone who is analytical thorough and enjoys seeing things through to completion. You will be in a critical role within the firm so we are looking for someone with great integrity honesty and a commitment to doing things by the book.
Further specific details about the role can be found in the job description attached to this advert.
What were looking for
Qualifications & Experience
- Holds at least CISI Level 3 Investment Operations Certificate
- Holds or is willing to complete CISI Level 6 Compliance Diploma or equivalent Compliance qualification within 2 years of employment.
- At least 3 years compliance experience within an investment management stockbroking or financial services firm.
- Demonstrable experience advising Executive Boards or senior leadership on regulatory policy.
- Track record of leading policy frameworks and embedding them into operational processes.
- Evidence of continuous professional development.
Skills And Attributes
- Detailed and current technical knowledge of the FCA Handbook MiFID II MAR SMCR AML and other relevant regimes.
- Self-sufficient and self-motivated with a proactive attitude.
- Proven ability to interpret distil and apply regulatory requirements to complex investment and stockbroking activities.
- Excellent communication and influencing skills with experience engaging and influencing senior stakeholders and Boards.
- Strategic thinker who can anticipate regulatory risks and opportunities.
- Proven leadership in policy development regulatory engagement and compliance governance.
- High integrity and commitment to maintaining the firms reputation and regulatory standing.
- A team player who collaborates and encourages others.
What does the future look like
Once you are settled into the role you will be able to take on more responsibility within the team and develop your skills and experience further through CPD and other development opportunities.
Redmayne Bentley provides support for colleagues to achieve industry standard qualifications if that is something they wish to do.
Who we are
At Redmayne Bentley our goal is to provide excellent personal investment services that enhance clients wealth.
It is an exciting time to be part of our firm having recently launched our new five-year business plan to improve grow and accelerate. We will achieve this through seeking operational and productivity improvements growing the investment management and financial planning services leveraging and protecting existing income lines and considering new acquisition opportunities.
As one of the UKs largest independent investment management and stockbroking firms we are committed to building a modern and diverse workplace where our people are offered unique opportunities to learn grow and develop across the financial sector.
Our friendly inclusive and collaborative environment rewards hard work with generous perks and benefits and we are genuinely committed to your wellbeing through our industry commended &You wellbeing framework.
Our future looks more exciting than ever come and share it with us.
Our Values
Our core values are at the heart of everything we do:
Our Benefits
We are always continuing to improve our employee benefits to support our employees lifestyles provide more flexibility and to reward and recognise excellence.
Pension
Scheme
Private
Medical Insurance
Employee Assistance Programme
Travel Loans and Cycle to Work
Reward and Recognition Schemes
Hybrid
Working
Group Life Assurance
Generous Family Leave Entitlements
Are you interested in this role
Yes Thats great! Find out more about our application process below and what to expect after applying.
Applying is easy! All you need to do is enter your email address and click theApply Now button or alternatively sign-in using your social media profile. You will then be asked to enter your details and submit your CV.
We review applications regularly; we do not wait for the closing date when we see a great candidate! We will be in touch via email or telephone confirming the next the meantime find out more about us and our teams using the headers at the top or following us onsocial media.
If you are successful in being shortlisted we will ask you to come in and meet us for an interview. This is your opportunity to show us how you share our values and would be a great fit for the role.
Documents
Required Experience:
Senior IC
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Redmayne Bentley provides personal investment expertise across a range of investment management and stockbroking services.
