Senior Compliance Policy Officer

Redmayne Bentley

2d•Hybrid

About The Position

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.

Requirements

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, distill, 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.

Nice To Haves

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.

Responsibilities

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.