Senior Compliance Policy Officer

Our client is seeking to recruit a Senior Compliance Policy Officer to join their team on an 18 month contract.

The successful candidate will be responsible for drafting and reviewing internal policies and procedures, performing research into compliance topics, and overseeing the testing and design of internal controls. The role requires a high level of regulatory knowledge within Financial Services and a minimum of 3 years’ experience in a Compliance role. 

This company is a leading independent investment management firm committed to building a modern and diverse workplace where their people are offered unique opportunities to learn, grow, and develop across the financial sector. They pride themselves on their friendly, inclusive, and collaborative environment that promotes open and effective communication, with lots of scope for collaborative working. The company provides support for colleagues to achieve industry-standard qualifications, and they are genuinely committed to their employees' wellbeing through their industry-commended &You wellbeing framework.

The Role

The Senior Compliance Policy Officer will be working within a dedicated team to help the firm meet the requirements of the FCA and other relevant regulators. The Compliance Policy Team is heavily involved in the business-critical implementation of the key policy and financial crime controls for the firm. Working in partnership with the Compliance Policy Manager, the successful candidate will be a senior source of knowledge and advice for any queries from colleagues and for scrutinising the firm’s internal policies and procedures. Key responsibilities include:

• Drafting or assisting with drafting internal policies and procedures
• Performing research into various compliance topics, such as new and existing regulations, best practices, and assessing the possible implications on the firm
• Carrying out and overseeing the process of testing, design, and operating effectiveness of internal controls
• Assisting the team’s response to risk incidents and breaches by carrying out and executing internal reviews
• Performing central monitoring quality control audit checks on other departments

Required knowledge:

• Educated to a degree level or equivalent standard, FSI (level 4 minimum) or equivalent in Compliance
• High level of existing regulatory knowledge within Financial Services
• Previous successful experience working in a Compliance role with a minimum 3 years’ experience
• Proven ability to work accurately with great attention to detail
• Commitment to the highest standards of professional conduct

Applicants must be located and eligible to work in the UK without sponsorship.