Job description

  • Location:
    London - 30 Gresham Street
  • Department:
  • Division:
    IBP Risk & Compliance
  • Employment Type:
    Full time
  • Salary:

Compliance and CASS Advisor (4723)

Investec is a distinctive Specialist Bank serving clients principally in the UK and South Africa. Our culture gives us our edge: we work hard to find colleagues who'll think out of the ordinary and we put them in environments where they'll flourish. We combine a flat structure with a focus on internal mobility. If you can bring an entrepreneurial spirit and a desire to learn and collaborate to your work, this could be the boost your career deserves.

Research shows that some candidates can be reluctant to apply to a role unless they meet all the criteria. We pride ourselves on our entrepreneurial spirit here and welcome you to do the same – if the role excites you, please don't let our person specification hold you back. Get in touch!

Role: Compliance Operations Advisor

Location: London

Team Description

Central Compliance team is responsible for the provision of advice to the business and other teams within the Compliance function on regulatory and IBP policy matters.  They are responsible for policies and frameworks which help ensure IBP business is conducted in a compliant and appropriate manner.  Central Compliance has primary responsibility for oversight of communication with the FCA in relation to queries, visits and consultation papers, provision of periodic Compliance reporting to the Board and relevant committees, and the central aspects of regulatory reporting.

The team also has additional responsibilities relating to the provision of Computer Based Training, oversight and authorisation of G&H, as well as the FSCS and CASS regimes.  Added to this the team also coordinate the technology used to support various Compliance activities, including the logging and reporting of breaches.

Description of role and key responsibilities

Key responsibilities include (but are not limited to):

  • Assist in the development and delivery of training to the business Assist with the governance of Client Assets (CASS) across all business lines, including monthly Client Money and Assets Return (CMAR) submission
  • Collate and publish packs for CASS committee and forum
  • Provide advice across the bank on third party management and outsourcing rules applicable to IBP
  • Monitor regulatory developments via multiple feeds from the FCA, PRA and other UK and international bodies, as relevant
  • Assist with running certain Compliance processes, registers and governance frameworks, for example Compliance Breaches Register and framework
  • Work on enhancements to existing Compliance systems and processes, as required
  • Assist Business Enablement functions with the completion of annual conduct/compliance risk assessments and the onward reporting of any risks outside of appetite
  • Review Compliance Business Continuity Plan and update it in line with process change
  • Assist with the monthly Compliance KRI pack for Operation Risk Forum
  • Assist with completion of regulatory gap analyses of applicable regulation

Core skills and knowledge

Knowledge and Experience

  • Strong Technical Regulatory skills with good general knowledge of the FCA and PRA rules, specifically CASS, SYSC, Outsourcing (desirable)
  • Knowledge of Senior Manager and Certification Regime (desirable)
  • Ability to stay on top of rapidly changing regulation and quickly interpret and advise (compulsory)
  • Understanding of general Banking, Investment Banking and Capital Market products and regulations and trading operations (desirable)
  • Extensive relevant experience within the Financial Services Industry

Required Skills

  • Strong written skills, specifically experience in drafting regulatory briefings, policies, procedures and frameworks
  • Ability to communicate clearly and concisely, both orally an in writing, at all levels of the business
  • Good data skills with the ability to process reporting data via Excel
  • Proactive with an ability to work well under pressure and consistently meet deadlines whilst handling multiple tasks
  • Ability to identify actual or potential risks and propose suitable solution

Personal Attributes

  • Resilient and resourceful, with the ability to thrive under pressure
  • Exceptional time management skills to ensure agreed deadlines are met
  • Ability to work with a high degree of autonomy and initiative
  • An inquiring mind and desire to develop and learn
  • Ability to priorities and effectively manage multiple deliverables
  • Acting with integrity at all times and embrace the philosophy of treating our customers fairly  (compulsory)

Other attributes that would be helpful, but not essential for the role

Investec specific knowledge and how it is applied

  • Understanding of the type and nature of the products dealt within each division and desk (desirable)
  • High-level understanding of the dealing and settlement of securities
  • Awareness of relevant changes in the market, products, legislation & regulation
  • Monitoring of external websites (FCA and others) to note relevant regulatory and industry developments
  • Review and analysis of relevant regulatory development papers and their application to IBP

Close map
London - 30 Gresham Street
30 Gresham Street, London, England, GB, EC2V 7QN

Meet the recruiter

Charmaine Bannerman

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