Compliance Monitoring Manager

Redmayne Bentley LLP; Leeds; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A leading compliance firm in Leeds seeks a Compliance Manager to lead a dedicated team. The role requires a strong compliance background and the ability to enhance team performance. Responsibilities include developing compliance plans and managing recruitment processes. Candidates should have at least 5 years of experience in a regulated industry and relevant qualifications. This role offers opportunities for personal growth and a supportive work environment.

Benefits

Generous perks and benefits

Opportunities for CPD

Support for achieving industry standard qualifications

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 and Central monitoring plan.
• Deliver the monitoring plan for Client Facing Executives.
• Draft procedures for new testing activities.

Skills

Strong interpersonal and stakeholder management skills

Clear and confident verbal and written communication skills

In-depth understanding and application of regulatory rules

Advanced knowledge of investment management policies

Strong analytical skills and attention to detail

Leadership skills

Ability to maintain high standards of integrity

Self-sufficient and proactive attitude

Education

CISI or CII level 4 qualifications

Working towards Level 6

Job description

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.

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.

Qualifications

• 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. 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.