Compliance Monitoring Manager

We are looking for someone who knows how to get the best out of their team and has a strong compliance background.

In return we offer you the opportunity to

• Work with an excellent team of dedicated colleagues.
• Make a significant contribution to the operations of the firm.
• Develop and progress your own skills and experience.

This is a role ideal for someone who loves to lead and develop their team whilst maintaining the highest standards of integrity. We have a talented compliance team and committed support from board-level to build a top-class Compliance function and we want you to come in and help us do that.

You would provide regular coaching and support to allow the team to be successful in its roles as well as being an advocate for personal development. You will be a self-assured delegator and willing to share your knowledge and experience to ensure best practice is shared widely amongst the team.

Your key responsibilities would be:

• Development and implementation of a risk-based Compliance and Central monitoring plan ensuring it aligns with RBs risk appetite and regulatory expectations.
• Delivery of the monitoring plan for Client Facing Executives including oversight of branch visits.
• Delivery of second line oversight assurance and Training & Competency monitoring.
• Overseeing the execution and timely delivery of thematic reviews and regular testing including complex thematic reviews.
• Drafting procedures for any new regular testing activities.
• Identifying weaknesses or gaps in RBs compliance framework through reviews testing and analysis.
• Preparing detailed compliance reports for senior management and the board highlighting key findings risks and remediation actions.
• Completing recruitment onboarding and performance management processes for your team.

Further specific details about the role can be found in the job description attached to this advert.

What were looking for

Qualifications & Experience

Essential

• Minimum of CISI or CII level 4 qualifications and working towards Level 6
• Minimum of 5 years Compliance experience within the financial services or a similar regulated industry.
• Evidence of continuous professional development
• Previous managerial or team supervision experience.

Desirable

• Additional relevant professional qualifications (such as risk management compliance investment management)

Skills & Behaviours

Essential

• Strong interpersonal and stakeholder management skills
• Clear and confident verbal and written communication skills
• In-depth understanding and application of regulatory agencies rules and regulations
• Advanced knowledge of the investment management industry businesses and associated operating policies
• Strong analytical skills and attention to detail
• Proven Leadership skills - able to train motivate and evaluate colleagues successfully
• Ability to maintain and promote the highest standards of rigour and integrity.
• Able to lead by example and delegate tasks effectively.
• Proven ability to build and maintain a positive team culture
• Self-sufficient and self-motivated with a proactive attitude.

What does the future look like

Once you are settled into the role you will be able to take on more responsibility within the team and develop your skills and experience further through CPD and other development opportunities.

Redmayne Bentley provides support for colleagues to achieve industry standard qualifications if that is something they wish to do.

For someone who is keen to progress in this field there will be developmental and coaching support provided for you to potentially progress into a more senior role in the future.

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 five-year 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.