Compliance Policy Officer - Leeds, United Kingdom - Redmayne Bentley

Redmayne Bentley

Verified Company

Leeds, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

As a Compliance Officer, you'll be working within a dedicated team to help the firm meet the FCA's requirements.

The Compliance Policy Team is heavily involved in the business-critical implementation of the key policy and financial crime controls for the firm.

This role is ideal for someone who is analytical, thorough and enjoys seeing things through to completion.

You will be in a vital role within the firm so we are looking for someone with great integrity, honesty and a commitment to doing things by the book.

You will also have the chance to complete industry qualifications such as the CISI Investment Operations Certificate.

What you'll do

In this role, you'll be responsible for:

Performing central monitoring quality control audit checks on other departments within the firm.
Recording, analysing and escalating all breaches to the regulator where required.
Reporting to the FCA/NCA on STORs and SARs plus any investigations requested.
Completing daily monitoring tasks for regulatory required checks.
Drafting policy guidance for branch manual updates or new policies and procedures.
Answering both telephone and written queries relating to Compliance Policy matters.
Maintaining a good knowledge of our system and processes.
Keeping aware of all regulatory requirements and communicating potential changes to Compliance management

What we're looking for

Knowledge of FCA & Financial Crime regulations
An intermediate level knowledge of Microsoft Office.
An ability to adapt and use own initiative.
Proven accuracy skills and good attention to detail.
Commitment to maintaining FCA compliance and a TCF culture.

We would particularly welcome applicants who have

Previous experience in a similar role within Financial Services
Formal industry qualifications

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.

Our future looks more exciting than ever, come and share it with us.