Share Prices & Company Research
Back to Careers Main Page

Job Details

Closing Date
30/03/2018 14:27
Leeds (Head Office)
26 February 2018

Compliance Officer

We are looking to recruit two Compliance Officers in our Compliance department based in Leeds. 
Reporting to the Compliance Monitoring Manager, the main purpose of the role is to ensure the firm fulfils the Financial Conduct Authority’s requirements and meets the rules of the Financial Services and Markets Act. 
The main duties of the roles include:
  • To monitor business risks in accordance with regulatory requirements and internal procedures, both desk and – potentially - field based. Complete tasks in accordance with the Compliance Plan as directed.
  • To review customer complaints where required, to complete MI, contribute to Root Cause Analysis, and to submit regulatory reports.
  • To monitor specific managed portfolio issues and assessment of suitability.
  • To review and monitor work relating to daily queries, based primarily on Compliance inbox duties and KYC reviews, as well as monitor telephone-based services across the Firm.
  • To review financial promotions prior to publication and make recommendations as necessary to meet regulatory guidance.
  • To monitor Training & Competence (T&C) arrangements throughout Head Office and Branches.
  • To carry out any other duties as requested by the Head of Department or Monitoring Manager and to support and deputise for colleagues in the department or firm.
  • To manage own performance and continue to undertake training to develop skills and knowledge.
  • To maintain a working knowledge of the FCA Conduct of Business rules, APER and T&C framework and implications for the business.
 The ideal candidates will have the ability to manage conflict to reach agreed solutions, organisational awareness and be able to work under pressure to meet tight deadlines.  Applicants will also possess the ability to use their initiative to resolve issues and develop systems to ensure work is done effectively and efficiently.  In addition, you will have good time management and organisational skills with the ability to evaluate, discuss and put forward an argued and balanced case to reach a mutually agreeable and workable solution to internal and external issues of policy implementation and interpretation.
The successful candidates will have knowledge of financial investments (e.g. equities, fixed income securities, funds), experience of dealing with customer complaints to resolution, an understanding of Training and Competence requirements and an understanding of suitability requirements for investment management.  In addition to this you will have a deep understanding of risk profiling/suitability requirements.  
We are ideally looking for someone who has experience of working in portfolio management and/or wealth management, dealing with advisers, handling complaints up to resolution and monitoring of activities across different types of financial instruments ideally in a portfolio and/or wealth management environment. 
Candidates should ideally hold the CISI Level 4 Investment Advice Diploma or equivalent Level 4 CII & CFA FCA appropriate level 4 qualification or CISI Diploma in Investment Compliance.
Alternatively, you should already hold:
Level 3 CISI Certificate in Securities; CFA Investment Management Certificate; CII FPC 1-3; or Certificate in Financial Planning.
N.B. Depending on experience, the firm may be prepared to accept a candidate if they are working towards a recognised qualification.

Benefits include: 25 days holiday plus bank holidays; discretionary bonus; contributory pension; private medical care; cycle to work scheme.
We are looking for two roles – one permanent and one fixed-term to cover maternity leave; both roles are 35hrs – when applying, please confirm which role you are interested in.
Please send your CV and a covering letter to
Strictly no recruitment agencies please.
Get in touch today
Join Redmayne Bentley
Talk to us now about opening a new portfolio or transferring your portfolio from another provider
0113 243 6941
Get in touch today
Contact your local office
Contact your local office to find out more