Compliance Monitoring Manager

Hours per Week

37.5

Work Pattern

8.30am – 5.00pm (typical)

Seniority

Senior Manager

Hybrid Working

Available after 2 months (up to 2 days WFH per week)

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:

• Overseeing and monitoring the firm\’s risk-based Monitoring Plan, ensuring we meet the requirements of the FCA.
• Ensuring work relating to specific monitoring issues, including suitability, branch procedures, and XO services is completed to an excellent standard and issues identified are tracked to closure.
• Supporting the monitoring of breaches and managing the resolution of potential and actual high-profile events.
• Acting as a point of reference and expert knowledge for colleagues within the business.
• Preparing and submit monthly reports and plans summarizing KRI data and the firm\’s risk framework.
• Oversight of the complaints handling process end-to-end.
• Oversight the annual assessment of the certification of individuals under the FCA\’s SMCR regime.
• 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 we\’re looking for

• Formal compliance qualification
• 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.

• Excellent knowledge of FCA regulations.

• Strong Leadership skills – able to train, motivate and evaluate colleagues successfully
• Ability to coach and support the development of colleagues.
• Ability to maintain and promote the highest standards of rigour and integrity.
• Excellent attention to detail.
• Strong communication skills with stakeholders at various levels of seniority.
• 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.

We are proud of the culture we have created and of our approach, which promotes open and effective communication, with lots of scope for collaborative working. You will often find managers and directors working at the desk alongside you.

We encourage everyone to get involved, so you will have lots of opportunities to put forward your own ideas, and build on your skills, knowledge, and experience.

As one of the UK\’s 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.