Compliance Monitoring Specialist
Compliance Monitoring Specialist
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Job Description
Hours per Week
37.5
Work Pattern
8.30am 5.00pm (Monday Friday)
Client Facing
Yes
Seniority
Specialist
Redmayne Bentleys Compliance Monitoring team are involved in vital work ensuring that the Firm fulfils all FCA requirements and maintains regulatory compliance.
The Compliance Monitoring Specialist will be responsible for ensuring that the company adheres to regulatory requirements and internal role involves conducting regular compliance audits monitoring activities and identifying potential areas of compliance vulnerability.
The specialist will work closely with various departments to ensure the effectiveness of compliance programs and to foster a culture of compliance within the firm.
Further specific details about the role can be found in the job description attached to this advert.
What were looking for
- Significant compliance experience within Financial Services.
- Strong knowledge of FCA handbooks and regulations.
- Analytical approach to investigations and problem solving.
- Selfstarter with excellent time and workload management skills.
We would particularly welcome applicants who hold formal compliance qualifications and/or have previous work experience within Wealth or Investment Management.
What does the future look like
Once you are settled into the role you will begin to take on more responsibility within the team including taking on more complex cases and MI reporting.
Redmayne Bentley provides support for colleagues to achieve industry standard CISI qualifications if that is something they wish to do.
Most colleagues start on the Level 3 Investment Operations Certificate which provides them with a deep understanding of our industry FCA regulations and how our firm operates. This can then act as a pathway to further specialist qualifications such as the Level 4 Investment Advice Diploma and the Level 6 Diploma in Investment Compliance.
Who we are
At Redmayne Bentley our goal is to provide excellent personal investment services that enhance clients wealth.
It is an exciting time to be part of our firm having recently launched our new fiveyear business plan to improve grow and accelerate. We will achieve this through seeking operational and productivity improvements growing the investment management and financial planning services leveraging and protecting existing income lines and considering new acquisition opportunities.
As one of the UKs largest independent investment management and stockbroking firms we are committed to building a modern and diverse workplace where our people are offered unique opportunities to learn grow and develop across the financial sector.
Our friendly inclusive and collaborative environment rewards hard work with generous perks and benefits and we are genuinely committed to your wellbeing through our industry commended &You wellbeing framework.
Our future looks more exciting than ever come and share it with us.
Our Values
Our core values are at the heart of everything we do:
Our Benefits
We are always continuing to improve our employee benefits to support our employees lifestyles provide more flexibility and to reward and recognise excellence.
Pension
Scheme
Private
Medical Insurance
Employee Assistance Programme
Travel Loans and Cycle to Work
Reward and Recognition Schemes
Hybrid
Working
Group Life Assurance
Generous Family Leave Entitlements
Are you interested in this role
Yes Thats great! Find out more about our application process below and what to expect after applying.
Applying is easy! All you need to do is enter your email address and click theApply Now button or alternatively signin using your social media profile. You will then be asked to enter your details and submit your CV.
We review applications regularly; we do not wait for the closing date when we see a great candidate! We will be in touch via email or telephone confirming the next steps. In the meantime find out more about us and our teams using the headers at the top or following us onsocial media.
If you are successful in being shortlisted we will ask you to come in and meet us for an interview. This is your opportunity to show us how you share our values and would be a great fit for the role.
Documents
Required Experience:
Unclear Seniority
Employment Type
Full-Time
