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Assistant Compliance Monitoring Manager

  • £45000 - £50000 per annum, Benefits: Competitive benefits package

  • Ref


  • Contact Name |Laura Higton

Are you an experienced Compliance Officer looking to develop your leadership skills? Are you equipped with a keen eye for detail and a set of people skills that are second to none? Are you after a workplace that, while growing rapidly as a firm, prioritises a family-orientated culture?

We’ve teamed up with reputable independent stockbroking and investment management firm in their search for an Assistant Compliance Monitoring Manager who will oversee a small team of Compliance Officers in their Leeds office.

Alongside the Compliance Monitoring Manager and the Director of Regulation, you’ll develop a risk-based monitoring plan and ensure its completion to the pre-determined timescales. You’ll expand on your existing leadership skills, proactively encouraging your team to achieve targets set in line with FCA requirements.  

You’ll bring the following to the team:

  • Proven experience of Compliance within financial services and a working knowledge of FCA regulations
  • An appropriate Level 3 or 4 RDR compliant qualification relating to securities (e.g., the CISI Level 4 Investment Advice Diploma), plus a degree level qualification (or equivalent)
  • Experience managing or supervising a team
  • Outstanding communication skills
  • Strong attention to detail
If you’re interested in taking on the challenge, or maybe want to know more, just give me a ring on 01134 260 781 or drop me an email at laura.higton@bwd-search.co.uk.

Alternatively, apply now for immediate consideration.


CONTACT US 0113 274 3000