Senior Compliance Manager

Summary

Join AJ Bell as a Senior Compliance Manager and play a crucial role in ensuring regulatory compliance. Lead key compliance functions, drive regulatory initiatives, and develop a high-performing team. Maintain and enhance compliance processes, provide expert guidance, and produce insightful reports. Manage the SM&CR arrangements and ensure timely regulatory returns. Identify and escalate compliance issues, and foster a culture of technical excellence within the team. This role offers a competitive salary and a comprehensive benefits package.

Requirements

• Proven experience in a senior compliance role within financial services, ideally in platforms or asset management
• Demonstrated success in managing, coaching, and developing high-performing teams
• Strong project management abilities, with a track record of delivering complex regulatory initiatives
• Exceptional analytical skills, with the ability to assess risk, interpret regulations, and provide clear, actionable advice
• Deep understanding of UK financial services regulations, particularly within platforms and investment services
• Experience in designing, implementing, and maintaining compliance processes for efficiency and scalability
• Strong interpersonal skills, with the ability to build relationships and influence across internal and external stakeholders
• Excellent written and verbal communication skills, with the ability to present complex information in a clear and concise manner
• A meticulous approach to ensuring accuracy and compliance across all responsibilities
• Resilient and adaptable in a fast-paced regulatory environment, capable of navigating change with ease

Responsibilities

• Maintain and enhance Horizon Scanning processes to monitor, anticipate, and manage regulatory developments and their potential impacts
• Manage and develop the Senior Managers & Certification Regime (SM&CR) arrangements to ensure full regulatory compliance
• Oversee the compliance policy framework, ensuring timely updates, relevance, and alignment with regulatory requirements
• Ensure accurate preparation and submission of regulatory returns in line with reporting obligations
• Provide expert compliance guidance across group-wide projects, embedding regulatory considerations from inception through delivery
• Manage compliance-related computer-based training (CBT) and attestation processes to foster compliance awareness and adherence
• Produce insightful reports and recommendations for governance forums, supporting decision-making at the senior leadership level
• Serve as an escalation point for complex compliance queries, delivering practical and compliant resolutions
• Identify and escalate material compliance issues to the Head of Compliance with detailed impact assessments and recommended actions
• Regularly review and enhance core compliance processes to ensure they remain effective and fit for purpose
• Maintain and improve the compliance risk and controls register to support robust risk management and monitoring activities
• Lead and develop direct reports, fostering a culture of technical excellence, collaboration, and professional growth

Benefits

• Competitive starting salary
• Generous holiday allowance of 27 days, increasing up to 31 days with length of service
• Holiday buy and sell scheme
• A choice of pension schemes with matched contributions up to 8%
• Discretionary bonus scheme
• Annual free share awards scheme
• Buy As You Earn (BAYE) Scheme
• Health Cash Plan – provided by SimplyHealth
• Discounted private healthcare scheme and dental plan
• Free gym membership
• Employee Assistance Programme
• Bike loan scheme
• Sick pay+ pledge
• Enhanced maternity, paternity, and shared parental leave
• Loans for travel season tickets
• Death in service scheme
• Paid time off for volunteer work
• Charitable giving opportunities through salary sacrifice
• Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
• Personal development programmes built around you and your career goals, including access to personal skills workshops
• Ongoing technical training
• Professional qualification support
• Talent development programmes
• Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
• Monthly leadership breakfasts and lunches
• Casual dress code
• Access to a range of benefits from our sponsorship deals
• Hybrid working: At AJ Bell, our people are the heart of our culture. We believe in building strong connections by working together. That's why we offer a hybrid working model, where you’ll spend a minimum of 50% of your working time per month in the office. For new team members, an initial period will be full-time in the office to help you immerse yourself in our business and build valuable relationships with your colleagues