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Compliance Policy Manager

Date posted: 15 Feb, 2016
Ref: Ref:cp150216
Industry: Compliance
Salary: To £60K + Bens
Location: Milton Keynes
Contract Type: Permanent
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Further Information

My client is a Financial Services provider based in the Northern Home Counties. Due to the continued success of the company and subsequent expansion of the Compliance function they are currently recruiting for a Compliance Policy and Advisory Manager.

You will report to the Head of Compliance and supervise a team of two staff. You will take the day to day leadership of the newly established compliance Policy and Advisory team. The role will involve providing day to day advice to the business on compliance matters, supporting business projects and taking ownership and management of the firms policy framework.


  • Manage the policy manual to ensure it remains up to date with regulatory requirements
  • Maintaining and updating policies and procedures to ensure the compliance manual remains in line with the relevant rules
  • Ensure the policy manual is effectively communicated to staff
  • Conduct an annual policy review and manage the policy attestation process
  • Assisting with the development and delivery of compliance training to front office and the wider business
  • Provide intelligence to the business on ongoing regulatory developments and horizon scanning for forthcoming regulatory change
  • Provide ongoing day-to-day compliance advice and guidance to front & back office functions
  • Provide advice the business on the implementation of regulatory change
  • Support business projects by providing regulatory and compliance input.
  • Support the Marketing team in providing copy approval for financial promotions
  • Develop the Policy and Advisory team and integrate into the business
  • Effectively manage the Policy and Advisory team to deliver on teams objectives providing support and guidance to other team members

You will be a Compliance Professional with proven experience in leading policy work in the Financial Services industry. You will have extensive knowledge of FCA rules and handbooks, strong stakeholder skills and experience of recruiting and supervising teams of staff.

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