Compliance Monitoring Assistant Manager
- Recruiter
- Redmayne Bentley LLP
- Location
- Leeds, UK
- Salary
- 40,000 - 45,000 per annum
- Posted
- 21 Jul 2021
- Closes
- 29 Jul 2021
- Ref
- 2332433883
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
- Experience level
- Manager
An exciting opportunity has arisen for a Compliance Monitoring Assistant Manager at Redmayne Bentley, one of the UK's largest independent stockbroking and investment management firms. The role is based at the firm's Leeds Head Office, located in the heart of the city's financial district, only a few minutes' walk from Leeds train station.
What you will be doing
Working closely with the Director of Regulation and the Compliance Monitoring Manager, you will be assisting in developing a risk-based monitoring plan and, with your team, delivering the plan to agreed timescales.
What you will bring to the team
You will be able to utilise your experience of delivering monitoring plans, monitoring risks and managing and coaching colleagues (the role includes direct line management for a small number of individuals) to achieve targets considering FCA requirements. Compliance monitoring does result in the need to deliver outcomes that are not always welcomed, and this is where your ability to build rapport and influence others will come into its own.
As you are monitoring Investment Managers and Execution-only Stockbrokers, the role requires an appropriate RDR compliant qualification relating to securities such as the CISI level 4 Investment Advice Diploma or equivalent and/or Compliance qualifications.
Benefits
In return, we offer a competitive reward package including 25 days annual leave plus bank holidays (increasing with service), a discretionary bonus scheme, contributory pension, private medical care and travel loans.
Established in 1875, Redmayne Bentley has a vision to be the most trusted independent provider of personal investment services. Our mission is to provide excellent personal investment services that enhance clients' wealth, and our values of Excellence, Integrity, Respect, Responsibility and Teamwork reflect this and are at the core of all we do.
If these values resonate with you, and you would like to pursue a career at an award-winning firm that is proud of its history and values its people, then we would love to hear from you.
What you will be doing
Working closely with the Director of Regulation and the Compliance Monitoring Manager, you will be assisting in developing a risk-based monitoring plan and, with your team, delivering the plan to agreed timescales.
What you will bring to the team
You will be able to utilise your experience of delivering monitoring plans, monitoring risks and managing and coaching colleagues (the role includes direct line management for a small number of individuals) to achieve targets considering FCA requirements. Compliance monitoring does result in the need to deliver outcomes that are not always welcomed, and this is where your ability to build rapport and influence others will come into its own.
As you are monitoring Investment Managers and Execution-only Stockbrokers, the role requires an appropriate RDR compliant qualification relating to securities such as the CISI level 4 Investment Advice Diploma or equivalent and/or Compliance qualifications.
Benefits
In return, we offer a competitive reward package including 25 days annual leave plus bank holidays (increasing with service), a discretionary bonus scheme, contributory pension, private medical care and travel loans.
Established in 1875, Redmayne Bentley has a vision to be the most trusted independent provider of personal investment services. Our mission is to provide excellent personal investment services that enhance clients' wealth, and our values of Excellence, Integrity, Respect, Responsibility and Teamwork reflect this and are at the core of all we do.
If these values resonate with you, and you would like to pursue a career at an award-winning firm that is proud of its history and values its people, then we would love to hear from you.