Senior Compliance Advisor

We’re now looking for a Senior Compliance Advisor to join our collaborative and high-performing Compliance team. You’ll play a vital role in delivering clear, timely and practical regulatory advice to the business, helping us stay on track with our regulatory obligations while supporting our strategic ambitions.

This role can be based in either our Manchester or London office, with flexible hybrid working.

What you’ll be doing:

You’ll work closely with key stakeholders across the business, helping to embed good practice and ensure regulatory expectations are met. Your responsibilities will include:

• Supporting the ongoing embedding of the Consumer Duty across the business
• Providing practical compliance advice that balances regulatory requirements with business goals
• Building strong relationships with internal teams and representing the Compliance function across projects and meetings
• Supporting Product Governance activity, helping to maintain and evolve the framework
• Reviewing and overseeing financial promotions and customer communications
• Raising awareness through training, regulatory updates and input into e-learning
• Representing AJ Bell in external industry forums such as PIMFA, UKPG, TISA and the IA
• Assisting with reporting and MI for governance committees
• Providing operational support on CASS oversight and vulnerable customer processes

What we’re looking for:

We’re seeking someone credible, collaborative and proactive, who enjoys working at pace and building trusted relationships across all levels of the organisation.

Experience & Qualifications:

• Previous compliance experience in an FCA-regulated firm, ideally within platform, financial advice or asset management sectors
• Strong working knowledge of the FCA Handbook, particularly COBS, COLL, and Consumer Duty
• Degree and/or relevant professional qualification preferred

Skills & Competencies:

• Strong planning and organisational skills - able to manage complex tasks independently
• Excellent analytical skills - capable of interpreting regulation and communicating it effectively
• Confident communicator - able to influence and engage at all levels, both written and verbal
• A team player with the tenacity to challenge and support the business constructively

About us

AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 620,000 customers using our award-winning platform propositions to manage assets totalling more than £96.1 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.

Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.

Headquartered in Manchester with offices in central London and Bristol, we now have over 1,500 employees and have been named one of the UK's 'Best 100 Companies to Work For’ for six consecutive years and in 2024 named a Great Place to Work®.

Our perks and benefits

• Starting salary up to £65000
• Starting holiday entitlement of 26 days, increasing up to 31 days with length of service and a holiday buy and sell scheme
• A choice of pension schemes with matched contributions up to 7%
• Discretionary bonus scheme
• Annual free share awards scheme
• Buy As You Earn (BAYE) Scheme
• Health Cash Plan – provided by SimplyHealth
• Private healthcare scheme and dental plan
• Free gym membership, with an on-site gym providing a wide range of free classes
• Employee Assistance Programme
• Bike loan scheme
• Sick pay+ pledge
• Enhanced maternity, paternity, and shared parental leave
• Discounted nursery fees at Kids Planet on Exchange Quay
• Loans for travel season tickets
• Death in service scheme
• Paid time off for volunteer work
• Charitable giving opportunities through salary sacrifice
• Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
• Parking at Exchange Quay (subject to availability)
• Ongoing technical training
• Professional qualification support
• Talent development programmes
• Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
• Monthly leadership breakfasts and lunches

Hybrid working

At AJ Bell, our people are the heart of our culture. We believe in building strong connections by working together. That's why we offer a hybrid working model, where you’ll spend a minimum of 50% of your working time per month in the office. For new team members, an initial period will be full-time in the office to help you immerse yourself in our business and build valuable relationships with your colleagues.

AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.