Compliance Monitoring Manager

Redmayne Bentley; Leeds; Hybrid; GBP 70,000 - 90,000; Full time

Job summary

A leading investment management firm in the UK seeks a Senior Manager to lead their compliance team. Ideal candidates will have over 5 years of compliance experience in financial services and strong leadership skills. The position offers hybrid working after 2 months and encompasses development of compliance plans, staff training, and reporting to senior management. A collaborative and ethical company culture awaits the right candidate.

Benefits

Pension Scheme

Private Medical Insurance

Employee Assistance Programme

Travel Loans

Hybrid Working

Generous Family Leave Entitlements

Qualifications

• Minimum of 5 years Compliance experience in financial services.
• Evidence of continuous professional development.
• Previous managerial or team supervision experience.

Responsibilities

• Develop and implement a risk-based Compliance monitoring plan.
• Deliver monitoring plans for Client Facing Executives.
• Oversee recruitment, onboarding, and performance management.

Skills

Strong interpersonal and stakeholder management skills

Clear and confident verbal and written communication skills

In-depth understanding and application of regulatory agencies rules and regulations

Advanced knowledge of the investment management industry

Strong analytical skills and attention to detail

Proven Leadership skills

Ability to maintain highest standards of rigour and integrity

Able to lead by example

Self-sufficient and self-motivated

Education

CISI or CII level 4 qualification

Experience in compliance within financial services

Job description

Hours per Week

37.5

Work Pattern

8:30 am – 5:00 pm (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.

What we offer

• 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

• Development and implementation of a risk‑based Compliance and Central monitoring plan ensuring it aligns with RBs risk appetite and regulatory expectations.
• Delivery of the monitoring plan for Client Facing Executives including oversight of branch visits.
• Delivery of second line oversight assurance and Training & Competency monitoring.
• Overseeing the execution and timely delivery of thematic reviews and regular testing including complex thematic reviews.
• Drafting procedures for any new regular testing activities.
• Identifying weaknesses or gaps in RBs compliance framework through reviews testing and analysis.
• Preparing detailed compliance reports for senior management and the board highlighting key findings, risks and remediation actions.
• 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.

Qualifications & Experience

Essential

• Minimum of CISI or CII level 4 qualifications and working towards Level 6
• 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.

Desirable

• Additional relevant professional qualifications (such as risk management compliance investment management)

Skills & Behaviours

Essential

• Strong interpersonal and stakeholder management skills
• Clear and confident verbal and written communication skills
• In‑depth understanding and application of regulatory agencies rules and regulations
• Advanced knowledge of the investment management industry businesses and associated operating policies
• Strong analytical skills and attention to detail
• Proven Leadership skills – able to train, motivate and evaluate colleagues successfully
• Ability to maintain and promote the highest standards of rigour and integrity.
• 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.

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

• Excellence
• Respect
• Responsibility
• Teamwork
• Integrity

Our 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

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 the Apply 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 steps while you find out more about us and our teams using the headers at the top or following us on social 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.