MERJE
Compliance Officer
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Compliance Officer - Policy
North Yorkshire - Hybrid (3 days office)
Be the regulatory expert that shapes policy, not just applies it.
We're supporting a leading financial services organisation looking to appoint an experienced Compliance Officer (Policy) to join its second line Compliance function.
This is a specialist role for someone with deep Wealth, Investments and Financial Planning expertise who enjoys interpreting regulation, influencing business decisions and translating complex FCA requirements into practical, commercial guidance.
Rather than traditional monitoring or assurance work, you'll become the subject matter expert on regulatory developments, advising senior stakeholders and helping shape the firm's response to an evolving regulatory landscape.
The Role
You'll be responsible for:
- Monitoring and interpreting new FCA consultation papers, policy statements, guidance and regulatory developments.
- Assessing the impact of regulatory change across Wealth, Investments and Financial Planning businesses.
- Producing clear policy papers, technical briefings and regulatory guidance for senior stakeholders.
- Providing expert second line advice and constructive challenge on complex regulatory matters.
- Supporting the implementation of regulatory change across the business.
- Acting as the go-to SME for Conduct of Business requirements and customer outcome-focused regulation.
- Building strong relationships with business leaders, helping them understand regulatory expectations and develop compliant solutions.
- Working closely with industry bodies and external stakeholders where appropriate.
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About You
We're looking for someone who has:
- Significant Compliance experience within Wealth Management, Investments, Financial Planning or Retail Investments.
- Strong technical knowledge of FCA Conduct of Business rules affecting investment and advice businesses.
- Experience interpreting FCA consultation papers, policy statements and regulatory publications.
- A proven ability to write high-quality policy papers, technical guidance and regulatory communications.
- Excellent stakeholder management skills, with the confidence to influence and challenge senior colleagues.
- The ability to simplify complex regulation into practical business advice.
- A commercial mindset, balancing regulatory requirements with customer outcomes.
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This role would suit someone currently working as:
- Senior Compliance Consultant
- Compliance Policy Manager
- Regulatory Policy Manager
- Technical Compliance Manager
- Compliance SME
- Regulatory Change Consultant
If you're passionate about regulation, enjoy analysing new FCA developments and want to play a key role in shaping how a business responds to an ever-changing regulatory environment, we'd love to hear from you.
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