Job Description

About the Role
Hours per Week
37.5
Work Pattern
8.30am - 5.00pm (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.
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.
Your key responsibilities would be:

• 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.
What we're looking for
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 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.
Our Values
Our core values are at the heart of everything we do:
Our Benefits
We are always continuing to improve our employee benefits to support our employees' lifestyles, provide more flexibility and to reward and recognise excellence.
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? That's great! Find out more about our application process below and what to expect after applying.
Apply
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.
Sit Tight
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. In the meantime, find out more about us and our teams using the headers at the top or following us on social media.
Come and Meet Us
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.

Skills Required