Share Prices & Company Research
Back to Careers Main Page

Job Details

Closing Date
30/11/2018 11:09
12 September 2018

T&C Monitoring Officer

Our Investment Management Department is seeking an enthusiastic T&C Monitoring Officer to join their team based in our London / Locksbottom office.

Reporting to the Performance and Risk Manager, the role involves assisting the Performance and Risk Manager in meeting the firms first line supervision requirements and to ensure the firm fulfils the Financial Conducts Authority’s requirements.
Main responsibilities and duties:
  • Supervising and monitoring business risks in accordance with regulatory requirements and internal procedures, processes and standards, principally by desk-based monitoring with some field-based monitoring, as appropriate. 
  • Assisting in the development of new entrants’ knowledge of compliant behaviours towards competent status by ‘close supervision’ monitoring activities. 
  • To ensure relevant forms are accurately and fully completed for Compliance oversight e.g. stage 1 and 2 sign off forms, review logs and T&C checklist returns. 
  • Reviewing and monitoring specific managed portfolio issues, including risk profiling and assessment of suitability and recommending remedial action when applicable. 
  • To provide the Performance and Risk Manager with information on investment management risks facing the business. 
  • To carry out any other duties as requested by the Performance and Risk Manager. 
  • To manage own performance and continue to undertake training to develop skills and knowledge.
Desirable skills and experience
  • An understanding and knowledge in a wide range of financial investments e.g. equities, bonds, derivative, training and competence and investment management suitability requirements.  
  • An ability to evaluate, discuss, put forward an argued and balanced case to reach a mutually agreeable and workable solution to internal issues of policy implementation and interpretation. Organisational awareness. 
  • Excellent Time management and organisational skills.
  • A high level of attention to detail, analytical and problem-solving skills.
  • Ability to manage conflict to reach agreed solutions.
  • Ability to work to tight deadlines.
  • Ability to use initiative to resolve issues and develop systems to ensure work is done effectively and efficiently.
  • Experience of monitoring portfolio management and/or wealth management regulated individuals.
  •  Monitoring of packaged products.
  • Dealing with advisers.

CISI level 4 Investment Advice Diploma or equivalent Level 4 CII & CFA FCA appropriate level 4 RDR complaint qualifications for Securities.
Consideration will be given if part-qualified.
25 days holiday plus bank holidays, discretionary bonus, contributory pension, private medical care and cycle to work scheme.

If you are looking for a new opportunity to join a successful, reputable firm with a culture where everyone is valued and recognised for their contribution please send your CV.
Get in touch today
Join Redmayne Bentley
Talk to us now about opening a new account or transferring your account from another provider
0113 243 6941
Get in touch today
Contact your local office
Contact your local office to find out more
We use cookies on this site to improve your experience and help us provide you with a better website. An explanation of the cookies we use and their purpose can be found within our Cookie Policy. Your continued use of this site means you consent to the use of cookies.