Compliance Officer - Leeds, United Kingdom - Redmayne Bentley

Redmayne Bentley

Verified Company

Leeds, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Hours per Week
37.5

Work Pattern
8.30am - 5.00pm (Monday-Friday)

Client Facing
Yes

Seniority
Specialist

Redmayne Bentley's Compliance Monitoring Officers are involved in vital work ensuring that the Firm fulfils all FCA requirements and maintains regulatory compliance.

Our Compliance Monitoring team are involved in multiple areas of regulatory oversight for the firm - from portfolio suitability through to Training and Competence assessments.

This will involve a keen eye for detail, responding to customer complaints and conducting Root Cause Analysis to identify any possible trends or concerns.

You will need to remain up to date with all relevant regulatory changes so that we stay aware of any emerging threats or challenges.

This is role does involve some client-facing aspects, whilst also requiring regular contact with colleagues across the firm.

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

What we're looking for

Previous compliance experience within Financial Services or a similar regulated industry
Strong knowledge of FCA regulations.
High level of attention to detail.
Consistent and accurate administrative skills.
Excellent communication and relationship management skills.
Confident ability to manage multiple deadlines.
Analytical approach to investigations and problem solving.

We would particularly welcome applicants who have

Previous involvement in Training & Competency assessments within Financial Services.

What does the future look like?

Once you are settled into the role, you will begin to take on more responsibility within the team, including taking on more complex cases and MI reporting.

Redmayne Bentley provides support for colleagues to achieve industry standard CISI qualifications, if that is something they wish to do.

Most colleagues start on the Level 3 Investment Operations Certificate, which provides them with a deep understanding of our industry, FCA regulations and how our firm operates.

This can then act as a pathway to further specialist qualifications, such as the Level 4 Investment Advice Diploma and the Level 6 Diploma in Investment Compliance.

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.