Compliance Monitoring Officer
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Job Summary
| Hours per Week | 37.5 |
| Work Pattern | 8.30am 5.00pm (Monday Friday) |
| Qualification Required | Yes CISI Level 4 IAD or equivalent. |
| Seniority | Specialist |
Redmayne Bentleys Compliance teams are involved in vital work ensuring that the Firm fulfils all Financial Conduct Authority (FCA) requirements and maintains regulatory compliance.
Our firm works in a frequently evolving regulatory environment and we are looking for specialists in conducting Investment Advice reviews to bolster our current processes in this area.
You would be responsible for conducting second-line file reviews and thematic assessments of investment management activities carried out by our Investment Managers and Portfolio Managers. You will help us to ensure that our managed and stockbroking services (DWA) are delivered in accordance with regulations internal policies and the firms standards for client outcomes.
You will also support the compliance team in the following areas:
- Conducting detailed reviews of client files to assess the suitability and appropriateness of investment advice and portfolio recommendations.
- Producing high-quality monitoring reports summarising findings trends and recommendations for remedial action.
- Engaging with Portfolio and Investment Managers including Heads of Office to provide feedback and promote best practices and good client outcomes.
- Collaborating with the Training & Competence (T&C) team to support training and awareness initiatives on suitability and regulatory expectations.
Further specific details about the role can be found in the job description attached to this advert.
What were looking for
Qualifications and Experience
- Level 4 Investment Advice Diploma (IAD) or equivalent (e.g. CISI CII).
- At least 3 years experience in compliance monitoring audit or quality assurance within investment management stockbroking or wealth management.
- Experience reviewing investment advice or discretionary portfolio management.
- Familiarity with compliance monitoring methodologies control testing and risk-based approaches
Skills and Competencies
- Strong working knowledge of FCA rules particularly around suitability appropriateness and client communications.
- Strong attention to detail with strong analytical and evaluative capabilities.
- Sound judgment in identifying conduct and regulatory risks.
- Excellent written communication and report-writing skills.
- Confidence in engaging with and constructively challenging investment professionals.
- Organised and methodical with the ability to manage multiple reviews simultaneously.
- High levels of professional integrity discretion and commitment to maintaining standards
What does the future look like
Redmayne Bentley provides support for colleagues to achieve industry standard qualifications if that is something they wish to do.
We are proud of our culture of offering development opportunities for all our colleagues whether that is via developing management skills gaining exposure to new areas of the business or via secondment opportunities.
Many of our colleagues have chosen to stay at Redmayne Bentley for a long time due to these opportunities and we aim to provide you with the same experience.
We now have 150 years of history but we also have plans for a long and successful future which we would like to share with you.
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 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.
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 sign-in 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 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
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Redmayne Bentley provides personal investment expertise across a range of investment management and stockbroking services.
