Compliance Monitoring Officer in Leeds

Overview

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.

Responsibilities

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.

• 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.

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 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.

Future and Development

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 through 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.

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 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.

Values

Our core values are at the heart of everything we do: Excellence, Respect, Responsibility, Teamwork, Integrity.

Benefits

• 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

Application Process

Applying is easy! All you need to do is enter your email address and click the “Apply Now” button or sign in using your social media profile. You will then be asked to enter your details and submit your CV. We review applications regularly and will be in touch via email or telephone confirming the next step. If you are successful in being shortlisted we will ask you to come in for an interview – this is your opportunity to show us how you share our values and would be a great fit for the role.