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Job Details

Closing Date
22/06/2018 14:26
Leeds (Head Office)
18 April 2018

Compliance Policy Manager

A vacancy has arisen in our Compliance Department for a full time Compliance Policy Manager.

Reporting to our Director of Regulation, the purpose of the role is to contribute to the successful development of the firm in line with the strategy identified in the business plan, including fulfilment of the Financial Conduct Authority requirements.

Further responsibilities include:

  • Deputising for and providing support to the Director of Regulation.
  • Providing guidance and interpreting rules of the Financial Services and Markets Act and changes in UK and EU legislation that compact on Redmayne-Bentley e.g. GDPR, Financial Crime and MiFID II regulation.
  • Managing the Central Monitoring Team and agreeing with the Director of Regulation the programme across the head office business.
  • Leading on Compliance projects as directed and liaising with the Monitoring Manager on processes and documentation
  • Taking responsibility for drafting communications to inform branches and Head Office on relevant subjects in a timely manner.
  • Developing and maintaining risk monitoring MI and KRIs and contributing to quarterly reports on the firm's risk framework
  • Ensuring the risk matrix is reflective of new and emerging risks.
  • Ensuring compliance with the FCA requirements by taking responsibility for the maintenance and development of Branch and Department manuals and assisting in the implementing of new procedures.
  • Reviewing and updating manuals every May and November to ensure requirements and guidance are up to date
  • Dealing in the first instance with FCA correspondence on investigations and requests for information.
  • Investigating and dealing with complaint files referred to the Financial Ombudsman as an independent check.
  • Delegating or producing annual Anti Money Laundering, Best Execution and Conflict of Interest reports.
  • Providing MI which is relevant and accurate to enable TCF reporting and monitoring.
  • Carrying out responsibilities for staff training and development, including supervision, appraisals and the monitoring and assessment of personal development objectives.
  • Providing both internal and external presentations as required.
  • Providing support and guidance to the Monitoring teams on aspects of new regulation.
  • Providing technical support to specific initiatives as directed.
  • Helping the firm maintain a ‘TCF’ culture in respect of all the six outcomes.
  • Reporting any risks which may be detrimental to clients or to the firm’s reputation, which arise from inadequate procedures, systems or data handling.

The role requires a detailed knowledge of FCA rules and regulations and experience of applying risk protocols. Knowledge of accounting and/or legal sectors would also be advantageous. Further to this, candidates should hold experience of working within the financial sector within a managerial or supervisory role.

Applicants should be able to:

  • Communicate effectively using a wide range of media.
  • Meet deadlines and work under pressure whilst organising and managing time efficiently.
  • Use initiative to resolve issues, develop systems and manage change.
  • Manage conflict and lead a team successfully.

Ideally all candidates will be educated to degree level or equivalent standard, FSI or equivalent (Level 4) Candidates should also have a sound knowledge of FCA regulations having passed Regulatory Module of CISI examination or equivalent. Further to this the Level 6 Diploma in Investment Compliance and a Full level 4 qualification e.g. CII Financial Planning Diploma or CISI Investment Advice Diploma are desirable.

Hours of work: 9am to 5pm - 35 hours per week

If you would like to apply then please send your CV and a covering letter to:

Benefits include: 25 days holiday plus bank holidays; discretionary bonus; contributory pension; private medical care; cycle to work scheme;

Strictly no recruitment agencies please.


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