We are seeking an experienced Senior Compliance Policy Officer to join a growing Compliance team within a regulated financial services firm.
This is a high‑impact role where you will take ownership of the firm’s compliance policy framework and play a key role in shaping how regulatory requirements are interpreted and embedded across the business.
What you’ll be doing
- Act as a subject matter expert, providing clear and practical regulatory advice to the business
- Own and maintain the firm’s compliance policy framework
- Lead regulatory horizon scanning and assess the impact of upcoming changes
- Deliver clear updates and insights to senior leadership, including regulatory change implications
- Partner with stakeholders across the business to promote a strong culture of compliance
- Act as a key liaison between internal governance forums and external regulators
What we’re looking for
Experience & Qualifications
- Minimum 3 years’ compliance experience within financial services (e.g. investment management, stockbroking)
- Experience advising senior leadership or executive‑level stakeholders
- Strong track record of developing and embedding compliance policies
- Relevant qualification (e.g. CISI Level 3), with willingness to work towards an advanced compliance qualification
Skills & Knowledge
- Strong understanding of UK regulatory frameworks including the Financial Conduct Authority environment, MiFID II, Market Abuse Regulation, Senior Managers and Certification Regime, and AML requirements
- Ability to interpret and apply complex regulation in a practical, commercial way
- Excellent communication and stakeholder management skills
- Proactive, analytical, and detail‑oriented approach
- High integrity and strong sense of accountability
Why apply?
This is an opportunity to step into a strategic compliance role with real influence across the business, working closely with senior stakeholders and contributing directly to regulatory direction and governance.
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