Job description

  • Location:
  • Employee Type:
  • Department:
    IWI Compliance Team
  • Division:
    IWI Compliance & Risk
  • Employment Type:
    Full time
  • Salary:

Compliance Manager – Regulatory Governance (4780)

We're one of the UK's leading investment management companies, with responsibility for over £40 billion of client assets. We've worked closely with clients and their trusted advisers for many years and gained a unique understanding of the specific needs of our clients.

Investec Wealth & Investment seeks to deliver exceptional levels of customer service and has been trusted to meet the needs of private investors for almost 200 years. But our eyes are focused on your future.

Right now we're a team of over 1400 dedicated professionals located across 14 sites in the UK. We're looking to strengthen our team and need you to come on board and make a difference.

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 Manager – Regulatory Governance

Location: Liverpool, Manchester, Birmingham, Leeds, Sheffield 

What does the team do?

The Regulatory Governance Team is part of the Regulatory Assurance within the Compliance & Risk department. We partner with Compliance Advisory to provide support to Investment Management, Financial Planning, Wealth Planning and other key functional business areas in the capacity of second line of defence

The Compliance & Risk department comprises of: Compliance Advisory, Regulatory Assurance, Operational Risk, Data Protection, and Culture and Conduct. Financial Crime is a shared service with Investec Bank.

What are the roles key responsibilities?

Reporting to the Senior Manager in Regulatory Governance, this role will have the following key responsibilities:

  • Tracking changes in the external regulatory landscape that impact IW&I, through an inventory of laws and regulations
  • Incorporating the regulatory inventory into a GRC tool
  • Impact assessment and communication of regulatory change with stakeholders in written and verbal format, with input into the Regulatory Development Forum
  • Involvement with the Compliance Risk Assessment
  • Input into the mandatory regulatory training schedule, including the creating of training material where required.
  • Coordination of the Compliance and Risk policy framework, liaising with stakeholders and maintaining the ongoing review of policies
  • Involvement with team tasks such as the Compliance and Risk Control Self-Assessment (RCSA) and data requests
  • Ad hoc work as required by the Senior Manager

What core skills and knowledge are we looking for?

  • Strong technical knowledge and understanding of the FCA requirements that are applicable to Wealth businesses.
  • Understanding of the services provided by IW&I
  • Ability to understand, interpret rules and regulations and to clearly and succinctly articulate their impact in the context of the business environment in written and verbal format
  • Confident in ability to present, and to represent Compliance as required at fora and events
  • Aptitude for technological advancement of Compliance activities
  • Good stakeholder management skills demonstrating confidence and the ability to challenge
  • Strong technical, analytical, problem solving skills, with good attention to detail

What other attributes would be helpful for the role?

  • Experience in drafting and updating regulatory policies and procedures
  • A collaborative approach, along with the promotion of trust and integrity
  • Self-motivated, looking to broaden business and industry knowledge
  • The ability to demonstrate courage, to promote and foster a moral culture and to inspire others
  • Ability to multi-task and deal with a number of concurrent issues
  • Ability to interrogate data, MI and reports

What qualifications are required?

  • Preferred qualifications – CISI Diploma in Investment Compliance or similar


Meet the recruiter

Charmaine Bannerman

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