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Our client, a successful financial services firm operating in the wealth management space, are looking for a Compliance Policy Manager to join the business. As Compliance Policy Manager, you will be responsible for the development, implementation, and ongoing management of compliance policies to ensure the company adheres to all relevant regulatory requirements and industry standards. This role plays a critical part in promoting a robust compliance culture, managing regulatory changes, and supporting key stakeholders to achieve business objectives responsibly.
Key Responsibilities:
- Help develop and execute the Compliance Monitoring Plan
- Develop, review, and update compliance policies and procedures to reflect changes in regulation, business operations, and industry standards.
- Ensure compliance policies align with applicable regulations, including FCA rules, GDPR, and other relevant frameworks.
- Monitor and interpret regulatory changes, assess their impact on the business, and implement necessary policy updates.
- Design and deliver compliance training programs to enhance awareness and understanding of key policies across the business.
- Act as a subject matter expert, providing advice and support to staff on compliance-related matters
- Collaborate with the Risk and Compliance teams to identify and mitigate compliance risks.
- Support compliance monitoring activities to ensure policy adherence and recommend improvements
Experience Required:
- Be qualified in the Diploma in Financial Planning (or equivalent)
- Proven experience in compliance, policy management, or a related role within financial services.
- In-depth knowledge of FCA regulations and other relevant regulatory frameworks.
- Experience in managing regulatory changes and embedding policies effectively within a business
