Compliance Monitoring Officer

Redmayne Bentley; Leeds; On-site; GBP 40,000 - 60,000; Full time

Job summary

A reputable financial services firm in the United Kingdom is seeking a Compliance Monitoring Specialist to ensure regulatory compliance with FCA requirements. Candidates should have a Level 4 Investment Advice Diploma and at least three years of experience in compliance or audit. Responsibilities include conducting client file reviews, producing monitoring reports, and engaging with investment managers. The firm offers development opportunities to aid professional growth and has a strong reputation for staff retention.

Benefits

Support for industry standard qualifications

Development opportunities

Long-term career prospects

Qualifications

• At least 3 years’ experience in compliance monitoring, audit, or quality assurance within investment management.
• Experience reviewing investment advice or discretionary portfolio management.
• Familiarity with compliance monitoring methodologies and control testing.

Responsibilities

• Conduct detailed reviews of client files to assess suitability of investment advice.
• Produce high-quality monitoring reports summarising findings and recommendations.
• Engage with Portfolio and Investment Managers to provide feedback.
• Collaborate with the Training & Competence team on regulatory expectations.

Skills

Strong working knowledge of FCA rules

Attention to detail

Analytical capabilities

Excellent written communication

Confidence in engaging with professionals

Education

CISI Level 4 Investment Advice Diploma (IAD)

Job description

Hours per Week: 37.5

Work Pattern: 8.30am – 5.00pm (Monday – Friday)

Qualification Required? Yes – CISI Level 4 IAD or equivalent.

Seniority: Specialist

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.

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.

You will also support the compliance team in the following areas :

• 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.

Further specific details about the role can be found in the job description attached to this advert.

What we’re looking for

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 strong 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

What does the future look like?

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 via 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.

We now have 150 years of history, but we also have plans for a long and successful future which we would like to share with you.