Senior Compliance Policy Officer

As a Senior Compliance Policy Officer, you’ll 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 firm’s 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 we’re looking for

• 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.

• 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 firm’s 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.

At Redmayne Bentley, our goal is to provide excellent personal investment services that enhance clients’ wealth.

We are proud of the culture we have created and of our approach, which promotes open and effective communication, with lots of scope for collaborative working. You will often find managers and directors working at the desk alongside you.

We encourage everyone to get involved, so you will have lots of opportunities to put forward your own ideas, and build on your skills, knowledge, and experience.

As one of the UK’s 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.