Job description

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

Compliance Monitoring Officer (4491)

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.

Role: Compliance Monitoring Officer (2x Vacancies)

Location: Agnostic (Outside of London)

Team Description         

The Compliance Monitoring Team (CMT) forms part of the Compliance team within the Compliance & Risk department, and is responsible for the following activities:

  • Completion of risk based monitoring via periodic sample based control testing, communication surveillance and themed reviews
  • The provision of management information via regular reporting
  • Desk based ‘control room' style activities such as insiders and market abuse surveillance
  • Contribution to completion of regulatory risk assessments in relation to regulatory changes, rules and guidance factoring in business risks and controls

Description of role and key responsibilities        

  • Supporting the development of the annual Compliance Monitoring Plan
  • Undertaking and completing monitoring activities per the risk based Compliance Monitoring Plan, which may take the form of ongoing monitoring routines or conducting thematic or targeted reviews, with a focus on the areas of the business that provide advice to clients
  • Interaction with stakeholders and providing feedback on monitoring findings
  • Promoting a culture of compliance with internal policies / procedures and regulatory requirements through identification, escalation and reporting of issues identified through monitoring activities
  • The development, production and upkeep of monitoring procedures in response to regulatory or business change
  • Involvement with compiling management information and reports to various committees to support and inform governance
  • Active contribution to the compliance risk assessment with relevant monitoring output
  • Maintenance of complete and accurate records pertaining to monitoring activity, including tracking of agreed action
  • Ad hoc work as required by the Senior Manager of the Team

Core skills and knowledge  

  • Comprehensive knowledge and understanding of the FCA regulations applicable to a Wealth Business in the context of the wider regulatory framework
  • Understanding of the taxation and structure of products and services recommended by Financial Planners would be advantageous
  • Understanding of Investment Management
  • Previous experience in Monitoring, Testing, Surveillance, Quality Assurance or audit work
  • Strong analytical skills, logical thinking and detail orientated
  • Excellent written and verbal skills, ability to articulate issues with clarity
  • Ability to work independently and exercise judgement
  • Excellent organisational and time management skills; must be a completer / finisher
  • Strong inter-personal skills demonstrating confidence and the ability to challenge
  • Strong technical skills in Microsoft – Word, Excel and PowerPoint

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

  • 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

Qualifications required

  • Relevant qualifications through industry body (Cii or CISI) or educational institution


Meet the recruiter

Louise Radcliffe

Share this page
Share with linkedin
Share with facebook
Share with twitter
Share with email
Job Alerts
Create an alert subscription based on this Job


Private Medical Cover
Virtual GP
Gym Discounts
Psychologist Service
Annual Leave
Life Assurance