Compliance Policy Manager

About this role

Senior Compliance Policy Officer - Private Wealth Management

The Senior Compliance Policy Officer is a key member of the Regulatory and Compliance function, responsible for shaping, maintaining, and enhancing the firm's compliance policy framework. The role provides expert regulatory advice across the business, ensuring that regulatory developments are proactively identified, interpreted, and effectively embedded within the firm's operating model.

Working closely with senior management, governance committees, and business stakeholders, the role acts as a trusted adviser on regulatory policy and compliance risk. The successful candidate will support the firm in achieving its strategic objectives by ensuring compliance obligations are met in a proportionate, commercially pragmatic, and customer-focused manner.

The role serves as an important link between the business, regulators, and internal governance forums, helping to ensure that compliance policies are not only robust and well-governed but also practical, effective, and aligned to the firm's risk appetite and regulatory responsibilities.

Key Responsibilities

Regulatory Advisory

• Provide expert guidance and interpretation of FCA rules and broader regulatory requirements to business areas across the firm.
• Advise senior management on the regulatory implications of strategic initiatives, products, services, and business developments.
• Support decision-making by identifying regulatory risks and recommending practical solutions that align compliance obligations with commercial objectives.
• Act as a subject matter expert in discussions with regulators, auditors, industry bodies, and external advisers

Compliance Policy Leadership

• Own and maintain the firm's compliance policy framework, ensuring it remains current, comprehensive, and aligned with regulatory requirements and industry best practice.
• Lead the development, review, and periodic refresh of compliance policies and associated standards.
• Coordinate policy approval processes through relevant governance committees and Board forums.
• Ensure policies are effectively implemented, communicated, and embedded across business operations.

Regulatory Change and Horizon Scanning

• Lead regulatory horizon-scanning activities to identify emerging developments and assess their impact on the firm.
• Analyse new regulations, consultations, and regulatory guidance, translating complex requirements into clear business actions and strategic recommendations.
• Support the firm's response to industry consultations and regulatory engagement initiatives where appropriate.
• Contribute to the planning and oversight of regulatory change programmes.

Governance and Reporting

• Prepare regulatory and compliance policy updates, impact assessments, and management information for senior leadership and governance committees.
• Support the Director of Regulation in delivering regulatory reporting and submissions.
• Maintain robust records evidencing policy decisions, governance outcomes, and regulatory change activity.
• Monitor and report on the effectiveness of policy implementation and compliance governance arrangements.

Stakeholder Engagement and Culture

• Develop strong and effective relationships with senior managers, business leaders, and operational teams across the firm.
• Promote a positive compliance culture by providing practical advice and fostering awareness of regulatory responsibilities.
• Design and deliver high-quality training and awareness programmes on compliance and regulatory themes.
• Engage with industry peers, professional bodies, and external advisers to ensure awareness of emerging best practice and market developments.

Consumer Duty and Risk Management

• Act with integrity and consistently support good customer outcomes in line with FCA Consumer Duty requirements.
• Escalate and report any risks that may adversely affect clients, market integrity, or the firm's reputation.
• Identify opportunities to strengthen controls, governance arrangements, and regulatory risk management.
• Undertake additional duties and projects as reasonably required by management.

Qualifications and Experience

Essential

• CISI Level 3 Investment Operations Certificate or equivalent financial services qualification.
• Minimum of three years' compliance experience within investment management, wealth management, stockbroking, or financial services.
• Strong experience of interpreting and applying FCA regulatory requirements within a regulated environment.
• Demonstrable experience of developing, reviewing, or maintaining compliance policy frameworks.
• Experience of providing regulatory advice to senior stakeholders and business management teams.
• Evidence of ongoing professional development and commitment to maintaining technical expertise.

Desirable

• CISI Level 6 Diploma in Investment Compliance (or equivalent compliance qualification).
• Experience presenting to governance committees, executive leadership teams, or Boards.
• Experience engaging directly with regulators, industry bodies, or external auditors.
• Knowledge of regulatory change management and implementation.

Knowledge, Skills and Attributes

• Strong technical knowledge of the FCA Handbook and key regulatory regimes, including MiFID II, Market Abuse Regulation (MAR), Senior Managers and Certification Regime (SMCR), Anti-Money Laundering (AML), Consumer Duty, and wider financial services regulation.
• Exceptional ability to interpret complex regulatory requirements and apply them in a practical business context.
• Excellent written and verbal communication skills, including the ability to influence and challenge constructively at senior levels.
• Strong analytical and problem-solving capabilities with a strategic mindset.
• Ability to balance regulatory requirements with commercial considerations while maintaining appropriate regulatory standards.
• Highly organised with strong attention to detail and excellent judgement.
• Self-motivated and capable of working independently whilst collaborating effectively across teams.
• Demonstrated leadership in policy development, regulatory interpretation, and governance activities.
• High levels of integrity, professionalism, and commitment to maintaining the firm's reputation and regulatory standing.
• Collaborative and relationship-focused, with the ability to build credibility across all levels of the organisation.

Success in this role will be demonstrated through

• A robust, effective, and up-to-date compliance policy framework.
• Timely identification and assessment of regulatory developments.
• Successful embedding of regulatory requirements across the business.
• Positive regulatory, audit, and governance outcomes.
• Strong stakeholder engagement and confidence in compliance advice.
• Contribution to a culture of good governance, risk awareness, and customer-focused decision-making.