Job description

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

Compliance Officer (4586)

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 Officer / Manager – Compliance Advisory Team 

Location: Agnostic (except London)

Team Description

The Compliance Advisory team forms part of the Compliance team within the Compliance & Risk department.

The Compliance & Risk department comprises seven areas: Compliance Advisory, Compliance Monitoring, Regulatory Governance, Operational Risk, Data Protection, Financial Crime and SMCR Governance.

Description of role and key responsibilities

This is a role at either Compliance Officer or Manager level (subject to experience) working in an advisory capacity, with the primary aspect of the role being the provision of advice and guidance to the Wealth Advisory area of Investec Wealth & Investment's (“IW&I”) business (which includes Financial Planning).

Key responsibilities include:

  • Delivery of key Compliance processes including the provision of advice, complaints handling and the review and approval of financial promotions
  • Providing advice to the Financial Planning and Wealth Planning business areas, and also into projects and initiatives, in a timely manner.
  • Helping ensure that complaints and financial promotions are dealt with within required timescales (including handling and investigating complaints in accordance with regulatory requirements).
  • Liaising with the Regulatory Change team to help analyse the impact on IW&I's Wealth Advisory business from changes in the regulatory environment.
  • Building and maintaining constructive relationships with stakeholders, managing conflict as it arises and not letting it detract from the importance of these relationships towards achieving our shared goals (for client outcomes and the firm).
  • Ensuring risks/issues are escalated to the Senior Compliance Manager.
  • Partnering with other teams within Compliance and the Compliance & Risk department to help promote a culture of compliance with policies, procedures and regulatory requirements across the firm.
  • Attending committees, working groups and project meetings as relevant
  • Assisting with providing timely and relevant reporting to the Head of Compliance & Risk, stakeholders and committees as required
  • Contributing to the development and maintenance of the firm's policy framework, including assisting with the creation, updating and roll-out of policies and procedures as required
  • Completing other tasks as required by Senior Compliance Manager.

Core skills and knowledge

  • A well-developed understanding of the regulations applicable to advisory (Financial Planning / Wealth Planning) businesses.
  • An understanding of the taxation and structure of products and services recommended by Financial Planners would be advantageous.
  • The ability to interpret rules and regulations and to clearly and succinctly articulate their application in the context of the firm's business.
  • Ability to multi-task and deal with a number of concurrent issues.
  • Confident in ability to present and represent Compliance as required.
  • Ability to write reports and summarise issues to a level commensurate for management consumption.
  • Good stakeholder management skills, including the ability to negotiate and influence.
  • Ability to interrogate data, MI and reports to evaluate where risks or issues may occur to inform proactive advice aspect of team's work.
  • Strong technical, analytical, problem-solving skills, with good attention to detail.

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

  • The ability to engage in open dialogue and provide pragmatic solutions, dealing with conflict as required whilst maintaining good working partnerships with all areas of the business.
  • Willingness to develop self and help enhance team processes.
  • To speak with clarity, purpose and confidence.
  • To exhibit high energy, engagement and a focus on delivery.
  • Strong inter-personal, negotiation and stakeholder management skills.
  • A collaborative approach, along with the promotion of trust and integrity.
  • Good organisational and time management skills.
  • Self-motivated, looking to broaden business and industry knowledge.
  • Ability to work using own initiative, with the confidence to listen and question matters where necessary.


  • Financial Planning / Advice qualification desirable


Meet the recruiter

Charmaine Bannerman

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