At a Glance
- Tasks: Conduct compliance reviews and ensure regulatory standards are met in investment management.
- Company: Join Redmayne Bentley, a firm with 150 years of history and a focus on development.
- Benefits: Support for industry qualifications, career growth, and a collaborative work culture.
- Other info: Dynamic environment with opportunities for long-term career development.
- Why this job: Make a real impact by ensuring client outcomes and promoting best practices.
- Qualifications: CISI Level 4 IAD or equivalent with 3 years' experience in compliance monitoring.
The predicted salary is between 40000 - 50000 £ per year.
Work Pattern: 8.30am – 5.00pm (Monday – Friday)
Qualification Required: Yes – CISI Level 4 IAD or equivalent with some experience within discretionary investment management.
Redmayne Bentley’s 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 firm’s 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.
What we’re 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.
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 have 150 years of history, but we also have plans for a long and successful future which we would like to share with you.
Compliance Monitoring Officer in London employer: Redmayne Bentley LLP
Redmayne Bentley is an exceptional employer, offering a supportive work environment where compliance professionals can thrive. With a strong commitment to employee development, we provide opportunities for industry-standard qualifications and career progression, all within a collaborative culture that values integrity and excellence. Located in a dynamic regulatory landscape, our team plays a crucial role in ensuring client outcomes while enjoying the benefits of a long-standing firm with a forward-looking vision.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Officer in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management world and let them know you're on the lookout for a Compliance Monitoring Officer role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and compliance monitoring methodologies. We recommend creating a cheat sheet of key points to discuss, especially around suitability and appropriateness. This will help you stand out as someone who knows their stuff!
✨Tip Number 3
Showcase your analytical skills! During interviews, be ready to share examples of how you've conducted detailed reviews or produced high-quality reports in the past. This will demonstrate your attention to detail and ability to identify risks effectively.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you're genuinely interested in joining our team at Redmayne Bentley.
We think you need these skills to ace Compliance Monitoring Officer in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experience mentioned in the job description. Highlight your compliance monitoring experience and any relevant qualifications like the Level 4 IAD. We want to see how you fit into our team!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background aligns with our needs. Don’t forget to mention your familiarity with FCA rules and your analytical skills.
Showcase Your Attention to Detail:Since this role requires strong attention to detail, make sure your application is free from typos and errors. A well-organised application shows us that you can manage multiple reviews effectively, just like you would in the role.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it gives you a chance to explore more about our company culture!
How to prepare for a job interview at Redmayne Bentley LLP
✨Know Your Compliance Stuff
Make sure you brush up on FCA rules, especially around suitability and appropriateness. Being able to discuss these confidently will show that you’re not just familiar with the regulations but also understand their practical implications in investment management.
✨Showcase Your Analytical Skills
Prepare to discuss specific examples where you've conducted detailed reviews or assessments. Highlight your attention to detail and how your analytical capabilities have led to improved compliance outcomes in previous roles.
✨Engage with Confidence
Practice how you would engage with Portfolio and Investment Managers. Think about how you can constructively challenge their practices while promoting best outcomes for clients. This will demonstrate your ability to communicate effectively and assertively.
✨Prepare Quality Reports
Be ready to talk about your experience in producing high-quality monitoring reports. Discuss how you summarise findings and make recommendations for remedial action, as this is a key part of the role and shows your capability in report writing.
